# EUR-Lex - 52013PC0031 - EN

*|*

# 52013PC0031

**Proposal for a DIRECTIVE OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL on railway safety (Recast) /* COM/2013/031 final - 2013/0016 (COD) */**

			*

			*

EXPLANATORY MEMORANDUM

1.           CONTEXT OF THE PROPOSAL

1.1.        Recent EU policy
developments in the railway field

In its White Paper ‘Roadmap to a Single
European Transport Area - Towards a competitive and resource efficient
transport system’, adopted on 28 March 2011, the Commission announced its
vision to establish a Single European Railway Area and clarified that this
objective implies creating the internal railway market where European railway
undertakings can provide services without unnecessary technical and administrative
barriers.

Additionally, the European Council
conclusions of January 2012 highlight the importance of releasing the
growth-creating potential of a fully integrated Single Market, including as
regards network industries[1].
Furthermore, the Commission Communication on Action for Stability, Growth and
Jobs adopted on 30 May 2012[2]
stresses the importance of reducing further the regulatory burden and barriers
to entry in the rail sector, making therefore country specific recommendations
in that direction. In the same vein, the Commission adopted on 6 June 2012 the
Communication on strengthening the governance of the single market, which
likewise stresses the importance of the transport sector[3].

In the last decade, the EU railway market
has seen massive changes, gradually introduced by three legislative ‘railway
packages’ (with some accompanying acts) intended to open up the national
markets and make railways more competitive and interoperable at the EU level,
while maintaining high level of safety. However, despite the considerable
development of the ‘EU acquis’ establishing an internal market for rail
transport services, the modal share of rail in intra-EU transport has remained
modest. Therefore the Commission has planned to come forward with the Fourth
Railway Package in order to enhance the quality and efficiency of rail services
by removing the remaining market obstacles. The present Directive is a
component of the Fourth Railway Package focusing on the removal of remaining
administrative and technical barriers, in particular by establishing a common
approach to safety and interoperability rules to increase economies of scale
for railway undertakings active across the EU, decreasing administrative costs
and accelerating administrative procedures, as well as to avoiding disguised
discrimination.

1.2.        Legal framework for rail
safety

In order to pursue efforts to establish a
single market for rail transport services, it is necessary to establish a
common regulatory framework for railway safety. Member States have until now
developed their safety rules and standards mainly on national lines, based on
national technical and operational concepts. Simultaneously, differences in
principles, approach and culture have made it difficult to break through the technical
barriers and establish international transport operations.

Directive 91/440/EEC, Council Directive
95/18/EC of 19 June 1995 on the licensing of railway undertakings[4] and Directive 2001/14/EC of the
European Parliament and of the Council of 26 February 2001 on the
allocation of railway infrastructure capacity and the levying of charges for
the use of railway infrastructure and safety certification[5] was a first steps towards
regulation of the European rail transport market by opening the market for international
rail freight services. However, the provisions on safety proved to be
insufficient and differences between safety requirements among the Member
States affected the optimum functioning of rail transport in the EU.

Directive 2004/49/EC of the European
Parliament and of the Council of 29 April 2004 on Safety on the Community’s
railways and amending Council Directive 95/18/EC on the licensing of railway
undertakings and Directive 2001/14/EC on the allocation of railway
infrastructure capacity and the levying of charges for the use of railway
infrastructure and safety certification[6],
represented a great improvement towards establishment of a common regulatory
framework for railway safety. The Directive established a framework for
harmonising the content of safety rules, safety certification of railway
undertakings, the tasks and roles of the safety authorities and the
investigation of accidents, to discourage Member States from continuing to
develop on national lines their safety rules and standards based on national
technical and operational concepts.

1.3.        Why amend Directive
2004/49/EC?

Article 10 (7) of Directive 2004/49/EC
prescribes that ‘Before 30 April 2009 the Agency shall evaluate the development
of safety certification and submit a report to the Commission with
recommendations on a strategy for migration towards a single Community safety
certificate’ replacing the current two part system (Part A/B). Single EU safety
certificate development and implementation has always been a long term objective.
It was never a question of if but when it would be introduced.

In its interim report of 2009, the European
Railway Agency, hereafter “the Agency”, explained that it was too early to make
a recommendation and that more information was needed in order to ensure an
informed debate. The Agency submitted a report in July 2012 with a Recommendation
proposing a strategy for the migration[7].

Following the Recommendation of the Agency,
the Commission considers that the current regulatory framework is sufficiently
mature to migrate progressively towards a ‘single safety certificate’. With
this objective, the role of the national safety authorities needs to be revised
and the responsibilities reallocated between them and the Agency.

The revision of the Railway Safety
Directive is also an opportunity to adapt the text to take into account the
evolution of the railway market where new professional actors or entities have
been created. The lessons from severe railway accidents show that these actors
may assume important responsibilities in matter of safety. In the past, the
vertically integrated railway undertakings were able to control internally the
quality of all processes, such as the maintenance of rolling stock or loading
operations. The present trend of outsourcing activities or services is leading
to the emergence of new actors subject to increasing economic and financial
pressure, while internal control is decreasing. This may have consequences for
safety, unless a new way of monitoring is established, through contractual or
other arrangements, to ensure that risk control measures are duly implemented
by all relevant actors.

Another important reason for amending the
text concerns the national rules addressing safety concerns. A Task Force on
this subject was established and its findings are taken into account in this
proposal.

Other
amendments of the text are related to:

·
Clarification of existing provisions and new
definitions: aimed to improve consistency with similar provisions used in the
Directive XX on the interoperability of the rail system within the European
Union (hereinafter the ‘Interoperability Directive’).

·
Updates due to the evolution of the legislative
framework: provisions concerning national rules, as well as references to
comitology procedures and delegated acts.

·
Editorial changes: consolidation of previous
amendments in the text of the Directive, renumbering of articles and annexes,
elimination of obsolete provisions and references to other component of the
Fourth Railway Package.

2.           RESULTS OF CONSULTATIONS
WITH THE INTERESTED PARTIES AND IMPACT ASSESSMENTS

DG MOVE prepared an impact assessment to
support legislative proposals on improving efficiency and competitiveness of
the Single European Railway Area in the field of interoperability and safety.

An Impact Assessment Steering Group (IASG)
was created in June 2011. All DGs were invited to participate, however the main
interested services are DGs ENTR, EMPL, SG, SJ, HR, RTD, BUDG, REGIO, ENER and
ELARG.

The Commission services have discussed the
developments of Single European Railway Area with sector representatives on an
on-going basis. In 2010-2011 it conducted also an ex post evaluation of
Regulation 881/2004 establishing the Agency.

In order to support the Commission in the
impact assessment process, an external consultant was tasked to prepare an
impact assessment support study and to undertake a targeted consultation of
stakeholders.

The targeted consultation of interested
parties started on 18 November 2011 with an internet survey which finished on
30 December 2011. It was followed by interviews with the most significant
stakeholders and stakeholder workshop in February 2012.

Given the technical nature of the
initiative, no public consultation was carried out. However, the Commission has
taken care that all interested parties have been consulted in due time and
discussions have covered all the key elements of the initiative.

More information on the impact assessment
and the results of the stakeholder consultation is provided in the Impact Assessment
Report[8].

3.           LEGAL ELEMENTS OF THE
PROPOSAL

This section provides detailed comments and
explanations concerning the significant changes in the text of the Directive.
Editorial changes and obvious modifications are not commented.

CHAPTER I

Article 1: no comments.

Article 2: adaptation of the scope to make
it consistent with the ‘Interoperability Directive’.

Article 3: new definitions and a few
amendments to improve consistency with similar definitions used in the
Interoperability Directive.

CHAPTER II

Article 4: clarification on role and
responsibilities of the players in the railway chain to take into account to
recent evolution of the market and of the legal framework.

Articles 5, 6 and 7: updates due to the
evolution of the legal framework.

Article 8: adaptation of the provisions
related to national rules to take into account the evolution of the legal
framework (adoption of TSI) and alignment with the Interoperability Directive.

Article 9: no comments.

CHAPTER III

Article 10: introduction of the system of
single safety certificate for railways undertakings replacing the former system
of safety certificate and its two parts : ‘Part A’ and ‘Part B’.

Article 11: former Article 11 adapted to
the process of move towards a single safety certificate taking into account the
new role of the Agency.

Article 12: former Article 11 without major
changes

Article 13: no comments.

Article 14 and 15: re-numbering of the
former Article 14a updated.

Former Article 15: obsolete.

CHAPTER IV

Article 16 to 18: amendments taking into
account the new role of the national safety authorities in the process of move
towards a single safety certificate and reallocation of responsibilities
between them and the Agency.

CHAPTER V

Article 19: no comments.

Article 20: clarification stressing
cooperation between the national investigation body and the judicial
authorities in case of investigation following an accident.

Article 21 to 25: no comments.

CHAPTER VI

Article 26: new provision on delegated acts
taking into account the entry into force of the Treaty on the Functioning of
the European Union.

Article 27: modification of the Committee
procedure taking into account the entry into force of the Treaty on the
Functioning of the European Union.

Article 28: former article 31 updated.

Article 29: former article 32 without
comments.

Former article 26: obsolete

Former articles 29 and 30 of Directive
2004/49/EC concern amendments to Directives 95/18/EC and 2001/14/EC
respectively. They will be obsolete when the Recast of the First Railway
Package repealing these two Directives will enter into force.

Article 30: transitional provisions.

Article 31: new article concerning the role
of Agency opinions and recommendations

Article 32: former article 33 with
clarifications in matter of the transposition.

Article 33: repeal of Directive 2004/49/EC,
recasted.

Article 34: former article 34 on entry into
force, adapted.

Article 35: former article 35 on
addressees, adapted.

ANNEX I: former ANNEX I with some
adaptation.

Former ANNEX II: obsolete, following the adaptation
of the national rules.

Former ANNEX III: obsolete, following
introduction of an implementing act.

Former ANNEX IV: obsolete, following
introduction of the system of single EU safety certificate.

Former ANNEX V: obsolete, following
introduction of an implementing act.

New ANNEX II: correlation table.

ê Corrigendum,
OJ L 220, 21.6.2004, p. 16 (adapted)

2013/0016 (COD)

Proposal for a

DIRECTIVE OF THE EUROPEAN PARLIAMENT
AND OF THE COUNCIL

on railway safety
(Recast)

(Text with EEA relevance)

THE EUROPEAN PARLIAMENT AND THE
COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty on the
Functioning of the European Union establishing the
European Community, and in particular Article 71 Ö 91 Õ (1) thereof,

Having regard to the proposal from the European
Commission[9],

After transmission of the draft legislative
act to the national Parliaments,

Having regard to the opinion of the
European Economic and Social Committee[10],

Having regard to the opinion of the Committee
of the Regions[11],

Acting in accordance with the ordinary
legislative procedure,

Whereas:

ê Corrigendum, OJ
L 220, 21.6.2004, p. 16 recital 1 (adapted)

In order to pursue
efforts to establish a single market for rail transport services, initiated by
Council Directive 91/440/EEC of 29 July 1991 on the development of the
Community's railways[12],
it is necessary to establish a common regulatory framework for railway safety.
Member States have until now developed their safety rules and standards mainly
on national lines, based on national technical and operational concepts.
Simultaneously, differences in principles, approach and culture have made it
difficult to break through the technical barriers and establish international
transport operations.

ò new

(1)       Directive
2004/49/EC of the European Parliament and of the Council of 29 April 2004 on
Safety on the Community’s railways and amending Council Directive 95/18/EC on
the licensing of railway undertakings and Directive 2001/14/EC on the
allocation of railway infrastructure capacity and the levying of charges for
the use of railway infrastructure and safety certification[13] have been substantially amended. Since further
amendments are to be made, it should be recast in the interests of clarity.

ê Corrigendum,
OJ L 220, 21.6.2004, p. 16 recital 2 (adapted)

Directive 91/440/EEC,
Council Directive 95/18/EC of 19 June 1995 on the licensing of railway
undertakings[14]
and Directive 2001/14/EC of the European Parliament and of the Council of
26 February 2001 on the allocation of railway infrastructure capacity and
the levying of charges for the use of railway infrastructure and safety
certification[15]
provide the first steps towards regulation of the European rail transport
market by opening the market for international rail freight services. However,
the provisions on safety have proved to be insufficient and differences between
safety requirements remain, which affect the optimum functioning of rail
transport in the Community. It is of particular importance to harmonise the
content of safety rules, safety certification of railway undertakings, the
tasks and roles of the safety authorities and the investigation of accidents.

ò new

(2)       Directive
2004/49 established a common regulatory framework for railway safety, through
harmonisation of the content of safety rules, the safety certification of
railway undertakings, the tasks and roles of the national safety authorities
and the investigation of accidents. Nevertheless, to pursue efforts to
establish a single market for rail transport services, that Directive needs
thorough revision.

ê Corrigendum,
OJ L 220, 21.6.2004, p. 16 recital 3 (adapted)

Metros, trams and
other light rail systems are in many Member States subject to local or regional
safety rules and are often supervised by local or regional authorities and not
covered by the requirements on Community interoperability or licensing. Trams
are furthermore often subject to road safety legislation and could therefore
not be fully covered by railway safety rules. For these reasons and in
accordance with the principle of subsidiarity as set out in Article 5 of the
Treaty, Member States should be allowed to exclude such local rail systems from
the scope of this Directive.

ò new

(3)       Metros,
trams and other light rail systems are subject in many Member States to local
or regional safety rules and are often supervised by local or regional
authorities and not covered by the requirements for interoperability or
licensing within the Union. Trams are furthermore often subject to road safety
legislation and could therefore not be fully covered by railway safety rules.
For these reasons such local rail systems should be excluded from the scope of
this Directive. This does not prevent Member States from applying the
provisions of this Directive to local rail systems on a voluntary basis if they
deem this appropriate.

ê Corrigendum,
OJ L 220, 21.6.2004, p. 16 recital 4 (adapted)

Safety levels in the
Community rail system are generally high, in particular compared to road
transport. It is important that safety is at the very least maintained during
the current restructuring phase, which will separate functions of previously
integrated railway companies and move the railway sector further from
self-regulation to public regulation. In line with technical and scientific
progress, safety should be further improved, when reasonably practicable and
taking into account the competitiveness of the rail transport mode.

ò new

(4)       Safety
levels in the Union’s rail system are generally high, in particular compared to
road transport. In line with technical and scientific progress, safety should
be further improved, when reasonably practicable and taking into account the expected
improvement in the competitiveness of rail transport.

ê Corrigendum,
OJ L 220, 21.6.2004, p. 16 (adapted)

(5)       All those operating The main actors in the railway system, infrastructure managers and
railway undertakings, should bear the
full responsibility for the safety of the system, each for their own part.
Whenever it is appropriate, they should
cooperate in implementing risk control measures. Member States should make a
clear distinction between this immediate responsibility for safety and the Ö national Õ safety
authorities’ task of providing a national regulatory framework and supervising
the performance of the all operators.

ê Corrigendum,
OJ L 220, 21.6.2004, p. 16 recital 6 (adapted)

The responsibility of
infrastructure managers and railway undertakings for operating the railway
system does not preclude other actors such as manufacturers, maintenance
suppliers, wagon keepers, service providers and procurement entities from
assuming responsibility for their products or services in accordance with the
provisions of Council Directive 96/48/EC of 23 July 1996 on the
interoperability of the trans-European high-speed rail system[16]
and of Directive 2001/16/EC of the European Parliament and of the Council of
19 March 2001 on the interoperability of the trans-European conventional
rail system[17]
or of other relevant Community legislation.

ò new

(6)       The
responsibility of infrastructure managers and railway undertakings for
operating the rail system does not preclude other actors such as manufacturers,
carriers, consignors, fillers, loaders entities in charge of maintenance,
maintenance suppliers, wagon keepers, service providers and procurement
entities from assuming responsibility for their products or services. To avoid
the risk that the responsibilities are not properly assumed, each relevant actor
should be made responsible for its particular process. Each actor in the rail system
should be responsible in respect to the other actors for complete and truthful
communication of all relevant information to check if the vehicles are fit to
run. In particular that concerns information on the status and history of the
vehicle, maintenance files, traceability of loading operations, and consignment
notes.

ê Corrigendum,
OJ L 220, 21.6.2004, p. 16 recital 7 (adapted)

Requirements on
safety of the subsystems of the trans-European rail networks are laid down in
Directive 96/48/EC and Directive 2001/16/EC. However, those Directives do not
define common requirements at system level and do not deal in detail with the
regulation, management and supervision of safety. When minimum safety levels of
the subsystems are defined by technical specifications for interoperability
(TSIs) it will be increasingly important to establish safety targets at the
system level as well.

ò new

(7)       Each
railway undertaking, infrastructure manager and entity in charge of maintenance
should ensure that its contractors and other parties implement risk control
measures. To this end, they should apply the methods for monitoring set out in
the common safety methods (CSMs). Their contractors should apply this process
through contractual arrangements. Because such arrangements are an essential
part of the safety management system of railway undertakings and infrastructure
managers, railway undertakings and infrastructure managers should disclose
their contractual arrangements on request of the European Union Agency for
Railways (hereafter "the Agency") or the national safety authority in
the context of supervision activities.

ê Corrigendum,
OJ L 220, 21.6.2004, p. 16 recital 8 (adapted)

Common safety targets
(CSTs) and common safety methods (CSMs) should be gradually introduced to
ensure that a high level of safety is maintained and, when and where necessary
and reasonably practicable, improved. They should provide tools for assessment
of the safety level and the performance of the operators at Community level as
well as in the Member States.

ò new

(8)       Common
safety targets (CSTs) and CSMs have been gradually introduced to ensure that
safety is maintained at a high level and, when necessary and where reasonably
practicable, improved. They should provide tools for assessment of the safety
and performance of operators at Union level as well as in the Member States.
Common safety indicators (CSIs) have been established in order to assess
whether systems comply with the CSTs and to facilitate the monitoring of railway
safety performance.

ê Corrigendum,
OJ L 220, 21.6.2004, p. 16 recital 9 (adapted)

Information on safety
of the railway system is scarce and not generally publicly available. It is
thus necessary to establish common safety indicators (CSIs) in order to assess
that the system complies with the CSTs and to facilitate the monitoring of
railway safety performance. However, national definitions relating to the CSIs
may apply during a transitional period and due account should therefore be taken
of the extent of the development of common definitions of the CSIs when the
first set of CSTs is drafted.

ò new

(9)       National
rules, which are often based on national technical standards, have been
gradually replaced by rules based on common standards, established by CSTs,
CSMs and technical specifications for interoperability (TSIs). In order to
eliminate the obstacles to interoperability, the amount of national rules
should be reduced as a consequence of extending the scope of the TSIs to the
whole Union’s rail system and of closing open points in the TSIs. For this
purpose the Member States should keep their system of national rules updated,
delete obsolete rules and thereof inform the Commission and the the Agency.

ê Corrigendum,
OJ L 220, 21.6.2004, p. 16 recital 10 (adapted)

National safety
rules, which are often based on national technical standards, should gradually
be replaced by rules based on common standards, established by TSIs. The
introduction of new specific national rules which are not based on such common
standards should be kept to a minimum. New national rules should be in line
with Community legislation and facilitate migration towards a common approach
to railway safety. All interested parties should therefore be consulted before
a Member State adopts a national safety rule that requires a higher safety
level than the CSTs. In such cases the new draft rule should be subject to
examination by the Commission, which should adopt a Decision if it appears that
the draft rule is not in conformity with Community legislation or constitutes a
means of arbitrary discrimination or a disguised restriction on rail transport
operation between Member States.

ò new

(10)     In
view of the gradual approach to eliminating obstacles to the interoperability
of the rail system and of the time consequently required for the adoption of
TSIs, steps should be taken to avoid a situation where Member States adopt new
national rules or undertake projects that increase the diversity of the present
system. The safety management system is the recognised tool for preventing
accidents and railway undertakings are responsible for taking immediate
corrective action to prevent re-occurrence of accidents. Member States should
not decrease the responsibility of the railway undertakings by establishing new
national rules immediately after an accident.

ê Corrigendum,
OJ L 220, 21.6.2004, p. 16 recital 11 (adapted)

The current
situation, in which national safety rules continue to play a role, should be
regarded as a transitional stage, leading ultimately to a situation in which
European rules will apply.

ò new

(11)     In
carrying out their duties and fulfilling their responsibilities, infrastructure
managers and railway undertakings should implement a safety management system
meeting Union requirements and containing common elements. Information on
safety and the implementation of the safety management system should be
submitted to the Agency and to the national safety authority in the Member
State concerned.

ê Corrigendum,
OJ L 220, 21.6.2004, p. 16 recital 12 (adapted)

The development of
CSTs, CSMs and CSIs as well as the need to facilitate progress towards a common
approach to railway safety requires technical support at Community level. The
European Railway Agency established by Regulation (EC) No 881/2004 of the
European Parliament and of the Council[18] is set
up to issue recommendations concerning CSTs, CSMs and CSIs and further
harmonisation measures and to monitor the development of railway safety in the
Community.

ò new

(12)     To
ensure a high level of railway safety and equal conditions for all railway
undertakings, the latter should be subject to the same safety requirements. A
licensed railway undertaking should hold a safety certificate in order to
obtain access to the railway infrastructure. The safety certificate should
provide evidence that the railway undertaking has established its safety
management system and is able to comply with the relevant safety standards and
rules. For international transport services, it should be enough to approve the
safety management system only once at Union level.

ê Corrigendum,
OJ L 220, 21.6.2004, p. 16 recital 13 (adapted)

In carrying out their
duties and fulfilling their responsibilities, infrastructure managers and
railway undertakings should implement a safety management system, fulfilling
Community requirements and containing common elements. Information on safety
and the implementation of the safety management system should be submitted to
the safety authority in the Member State concerned.

ò new

(13)     Harmonised
methods based on Directive 2004/49/EC have been established to be applied to
the railway undertakings and the national safety authorities on monitoring,
conformity assessment, supervision and on risk evaluation and assessment. This regulatory
framework is sufficiently mature to move progressively towards a ‘single safety
certificate’, valid throughout the Union. The move to a single safety certificate
should make the rail system more effective and efficient by reducing admistrative
burdens for the railway undertakings.

ê Corrigendum,
OJ L 220, 21.6.2004, p. 16 recital 14 (adapted)

The safety management
system should take into account the fact that Council Directive 89/391/EC
of 12 June 1989 on the introduction of measures to encourage improvements
in the safety and health of workers at work[19] and
its relevant individual directives are fully applicable to the protection of
the health and safety of workers engaged in railway transport. The safety
management system should also take account of Council Directive 96/49/EC
of 23 July 1996 on the approximation of the laws of the Member States with
regard to the transport of dangerous goods by rail[20].

ò new

(14)     The
single safety certificate should be issued on the basis of the evidence that
the railway undertaking has established its safety management system.
Establishing this evidence may require not only on-site inspections to the
railway undertaking but also the supervision aimed to assess that the railway
undertaking continues to apply duly its safety management system after having
been granted the single safety certificate.

ê Corrigendum,
OJ L 220, 21.6.2004, p. 16 recital 15 (adapted)

To ensure a high
level of railway safety and equal conditions for all railway undertakings, they
should be subject to the same safety requirements. The safety certificate
should give evidence that the railway undertaking has established its safety
management system and is able to comply with the relevant safety standards and
rules. For international transport services it should be enough to approve the
safety management system in one Member State and give the approval Community
validity. Adherence to national rules on the other hand should be subject to
additional certification in each Member State. The ultimate aim should be to
establish a common safety certificate with Community validity.

ò new

(15)     Infrastructure
manager should have a key responsibility for the safe design, maintenance and
operation of its rail network. The infrastructure manager should be subject to
safety authorisation by the national safety authority concerning its safety
management system and other provisions to meet safety requirements.

ê Corrigendum,
OJ L 220, 21.6.2004, p. 16 recital 16 (adapted)

In addition to the
safety requirements laid down in the safety certificate, licensed railway
undertakings must comply with national requirements, compatible with Community
law and applied in a non-discriminatory manner, relating to health, safety and
social conditions, including legal provisions relating to driving time, and the
rights of workers and consumers as provided for in Articles 6 and 12 of
Directive 95/18/EC.

ò new

(16)     The
certification of train staff is often an insurmountable barrier to new
entrants. Member States should ensure that facilities for the training and
certification of train staff necessary to meet requirements under national
rules are available to railway undertakings intending to operate on the
relevant network.

ê Corrigendum,
OJ L 220, 21.6.2004, p. 16 recital 17 (adapted)

Every infrastructure
manager has a key responsibility for the safe design, maintenance and operation
of its rail network. In parallel to safety certification of railway
undertakings the infrastructure manager should be subject to safety
authorisation by the safety authority concerning its safety management system
and other provisions to meet safety requirements.

ò new

(17)     The
entity in charge of maintenance should be certified for freight wagons. Where
the entity in charge of maintenance is an infrastructure manager, this
certification should be included in the procedure for safety authorisation. The
certificate issued to such an entity should guarantee that the maintenance
requirements of this Directive are met for any freight wagon for which the
entity is in charge. This certificate should be valid in the whole Union and should
be issued by a body able to audit the maintenance system set up by the entity.
As freight wagons are frequently used in international traffic and as the
entity in charge of maintenance may want to use workshops established in more
than one Member State, the certification body should be able to implement its
controls throughout the Union.

ê Corrigendum,
OJ L 220, 21.6.2004, p. 16 recital 18 (adapted)

Member States should
make efforts to assist applicants wishing to enter the market as railway
undertakings. In particular they should provide information and act promptly on
requests for safety certification. For railway undertakings operating
international transport services, it is important for the procedures to be
similar in different Member States. Although the safety certificate will
contain national parts for the foreseeable future, it should nevertheless be
possible to harmonise the common parts of it and facilitate the creation of a
common template.

ò new

(18)     The
national safety authorities should be fully independent in their organisation,
legal structure and decision making from any railway undertaking,
infrastructure manager, applicant and procurement entity. They should carry out
their tasks in an open and non-discriminatory way and cooperate with the Agency
to create a single rail area and coordinate their decision-making criteria. To
increase efficiency, two or more Member States may decide to merge the staff
and resources of the respective national safety authorities.

ê Corrigendum,
OJ L 220, 21.6.2004, p. 16 recital 19 (adapted)

Certification of
train staff and authorisation of placing in service of in-use rolling stock for
the different national networks are often insurmountable barriers to new
entrants. Member States should ensure that facilities for the training and
certification of train staff necessary to meet requirements under national
rules are available to railway undertakings applying for a safety certificate.
A common procedure should be established for authorisation of placing in
service of in-use rolling stock.

ò new

(19)     When
a national safety authority is requested to supervise a railway undertaking
established in different Member States, the other relevant national safety
authorities should be informed by the Agency and the latter should ensure the
necessary coordination of supervision activities.

ê Corrigendum,
OJ L 220, 21.6.2004, p. 16 recital 20 (adapted)

Driving times and
rest periods for train drivers and train staff performing safety tasks have an
important impact on the safety level of the rail system. These aspects fall
under Articles 137 to 139 of the Treaty and are already subject to
negotiations between the social partners under the Sectoral Dialogue Committee
set up in accordance with Commission Decision 98/500/EC[21].

ê Corrigendum,
OJ L 220, 21.6.2004, p. 16 recital 21 (adapted)

The development of a
safe Community railway system requires the establishment of harmonised
conditions for delivering the appropriate licences to train drivers and
on-board accompanying staff performing safety tasks, for which the Commission
has announced its intention to propose further legislation in the near future.
As far as other staff charged with safety-critical tasks are concerned, their
qualifications are already being specified under Directives 96/48/EC and
2001/16/EC.

ê Corrigendum,
OJ L 220, 21.6.2004, p. 16 recital 22 (adapted)

As part of the new
common regulatory framework for railway safety, national authorities should be
set up in all Member States to regulate and supervise railway safety. To
facilitate cooperation between them at Community level, they should be given
the same minimum tasks and responsibilities. The national safety authorities
should be granted a high degree of independence. They should carry out their
tasks in an open and non-discriminatory way to help to create a single
Community rail system and cooperate to coordinate their decision-making
criteria, in particular concerning safety certification of railway undertakings
operating international transport services.

ê Corrigendum,
OJ L 220, 21.6.2004, p. 16 recital 23 (adapted)

(2320) Serious accidents on the railways are rare.
However, they can have disastrous consequences and raise concern among the
public about the safety performance of the railway system. All such accidents should,
therefore, be investigated from a safety perspective to avoid recurrence and
the results of the investigations should be made public. Other accidents and
incidents Ö should
also be subject to safety investigations when they Õ could be
significant precursors to serious accidents and should
also be subject to safety investigations, when it is necessary.

ê Corrigendum,
OJ L 220, 21.6.2004, p. 16 recital 24 (adapted)

(2421) A safety investigation should be kept
separate from the judicial inquiry into the same incident and Ö should Õ be granted
access to evidence and witnesses. It should be carried out by a permanent body
that is independent of the actors of the rail sector. The body should function
in a way which avoids any conflict of interest and any possible involvement in
the causes of the occurrences that are investigated; in particular, its
functional independence should not be affected if it is closely linked to
the national safety authority or regulator of railways for organisational and legal
structure purposes. Its investigations should be carried out under as much
openness as possible. For each occurrence the investigation body should
establish the relevant investigation group with necessary expertise to find the
immediate causes and underlying causes.

ò new

(22)     In
order to improve the efficiency of activities of an investigation body and to
help it in discharging its duties, the investigation body should have timely
access to the site of an accident, where necessary in good cooperation with the
judicial authority. The reports on investigations and any findings and
recommendations provide crucial information for the further improvement of
railway safety and should be made publicly available at Union level. Safety
recommendations should be acted upon by the addressees and actions reported
back to the investigating body.

(23)     The
Member States should lay down rules on penalties applicable to infringements of
the provisions of this Directive and ensure that they are implemented. Those
penalties should be effective, proportionate and dissuasive.

(24)     Since
the objectives of the actions proposed in this Directive, namely coordinating
activities in the Member States in order to regulate and supervise safety,
investigating accidents and establishing common safety targets, common safety
methods, common safety indicators and common requirements for single safety
certificates cannot be sufficiently achieved by the Member States and can be
better achieved at Union level, the Union may adopt measures in accordance with
the principle of subsidiarity as set out in Article 5 of the Treaty on European
Union. In accordance with the principle of proportionality, as set out in that
Article, this Directive does not go beyond what is necessary in order to
achieve those objectives.

ê Corrigendum,
OJ L 220, 21.6.2004, p. 16 recital 25 (adapted)

The reports on
investigations and any findings and recommendations provide crucial information
for the further improvement of railway safety and should be made publicly
available at Community level. Safety recommendations should be acted upon by
the addressees and actions reported back to the investigating body.

ò new

(25)     In
order to supplement and amend certain non-essential elements of this Directive,
the power to adopt acts in accordance with Article 290 of the Treaty should be
delegated to the Commission in respect of common safety methods and their
revision, and revision of common safety indicators and common safety targets.
It is of particular importance that the Commission carry out appropriate
consultations during its preparatory work, including at expert level. The
Commission, when preparing and drawing up delegated acts, should ensure a
simultaneous, timely and appropriate transmission of relevant documents to the
European Parliament and to the Council.

(26)     In
order to ensure uniform conditions for the implementation of this Directive,
the implementing powers should be conferred on the Commission relating to the requirements
for the safety management system and its elements, review of the system for
certification of the entities in charge of maintenance for freight wagons and
extension to other rolling stocks and the principal content of the accident and
incident investigation report. Those powers should be exercised in accordance
with Regulation (EU) No 182/2011 of the European Parliament and of the Council
of 16 February 2011 laying down the rules and general principles concerning
mechanisms for control by Member States of the Commission’s exercise of
implementing powers[22].

(27)     The
obligation to transpose this Directive into national law should be confined to
those provisions representing a substantive change as compared with the earlier
Directive. The obligation to transpose the provisions that are unchanged arises
under the earlier Directive.

(28)     This
Directive should be without prejudice to the obligation of the Member States
relating to the time-limits for transposition into national law of the
Directives set out in Annex IV, part B,

ê Corrigendum,
OJ L 220, 21.6.2004, p. 16 recital 26 (adapted)

Since the objectives
of the proposed action, namely to coordinate activities in the Member States to
regulate and supervise safety and to investigate accidents and to establish at
Community level common safety targets, common safety methods, common safety
indicators and common requirements of safety certificates, cannot be
sufficiently achieved by the Member States and can therefore, by reason of the
scale of the action, be better achieved at Community level, the Community may
adopt measures in accordance with the principle of subsidiarity as set out in
Article 5 of the Treaty. In accordance with the principle of proportionality,
as set out in that Article, this Directive does not go beyond what is necessary
in order to achieve those objectives.

ê Corrigendum,
OJ L 220, 21.6.2004, p. 16 recital 27 (adapted)

The measures
necessary for the implementation of this Directive should be adopted in
accordance with Council Decision 1999/468/EC of 28 June 1999 laying down
the procedure for the exercise of implementing powers conferred on the
Commission[23].

ê Corrigendum,
OJ L 220, 21.6.2004, p. 16 recital 28 (adapted)

This Directive aims
at reorganising and bringing together the relevant Community legislation on
railway safety. Consequently, provisions for safety certification of railway
undertakings that were previously set out in Directive 2001/14/EC should,
together with all references to safety certification, be repealed. Directive
95/18/EC included requirements on safety qualifications of operational staff
and on safety of rolling stock that are covered by the requirements on safety
certification of this Directive and should therefore no longer be part of the
licensing requirements. A licensed railway undertaking should hold a safety
certificate in order to be granted access to the railway infrastructure.

ê Corrigendum,
OJ L 220, 21.6.2004, p. 16 recital 29 (adapted)

The Member States should
lay down rules on penalties applicable to infringements of the provisions of
this Directive and ensure that they are implemented. Those penalties should be
effective, proportionate and dissuasive.

ê Corrigendum,
OJ L 220, 21.6.2004, p. 16 (adapted)

ð new

HAVE ADOPTED THIS DIRECTIVE:

CHAPTER I

GENERAL PROVISIONS

Article 1

Subject matter

The purpose of this
Directive is Ö This Directive
lays down provisions Õ to ensure the
development and improvement of safety of the Community's
Ö Union’s Õ railways and
improved access to the market for rail transport services by:

(a) harmonising the regulatory
structure in the Member States;

(b) defining responsibilities
between the actors Ö of the
rail system Õ ;

(c) developing common safety
targets and common safety methods with a view to greater harmonisation of ð gradually removing the need for ï national rules;

(d) requiring the establishment,
in every
ð for each ï Member State, of a Ö national Õ safety
authority and an accident and incident investigating body;

(e) defining common principles
for the management, regulation and supervision of railway safety.

Article 2

Scope

1. This Directive applies to the Ö rail Õ railway system in the Member States, which may be broken
down into subsystems for structural and operational ð functional ï areas. It covers safety requirements on the system as a whole,
including the safe management of infrastructure and of traffic operation and
the interaction between railway undertakings ð , ï and
infrastructure managers ð and other actors of the rail system ï.

2. ð The following systems are excluded
from the scope of this Directive: ï

Member States may exclude from the measures they
adopt in implementation of this Directive:

(a) metros, trams and other light rail systems;

(b) networks that are
functionally separate from the rest of the rail Ö railway Õ system and
intended only for the operation of local, urban or suburban passenger services,
as well as railway undertakings operating solely on these networks;

Ö 3. Member
States may exclude from the scope of the measures implementing this
Directive: Õ

(ac) privately owned railway infrastructure ð and vehicles exclusively used on
such infrastructure where this ï exists solely for use by the infrastructure
owner for its own freight operations;

ð (b) infrastructure and vehicles
reserved for strictly local, historical or tourist use. ï

ê 2008/110/EC
Art. 1.1

(d) heritage vehicles that run on national networks
provided that they comply with national safety rules and regulations with a
view to ensuring safe circulation of such vehicles;

(e) heritage, museum and tourist railways that operate on
their own network, including workshops, vehicles and staff.

ê Corrigendum,
OJ L 220, 21.6.2004, p. 16

Article 3

Definitions

For the purpose of this Directive, the
following definitions shall apply:

(a)‘railway system’ means the totality of the
subsystems for structural and operational areas, as defined in Directives
96/48/EC and 2001/16/EC, as well as the management and operation of the system
as a whole;

ò new

(a)
‘rail system’ means the Union rail system as defined in Article 2 of Directive [xx
on interoperability of the rail system];

ê Corrigendum,
OJ L 220, 21.6.2004, p. 16

(b)‘infrastructure manager’ means any body or
undertaking that is responsible in particular for establishing and maintaining
railway infrastructure, or a part thereof, as defined in Article 3 of Directive
91/440/EEC, which may also include the management of infrastructure control and
safety systems. The functions of the infrastructure manager on a network or
part of a network may be allocated to different bodies or undertakings;

ò new

(b)‘infrastructure
manager’ means infrastructure manager as defined in Article 2 of Directive
2001/14/EC[24];

ê Corrigendum,
OJ L 220, 21.6.2004, p. 16 (adapted)

ð new

(c)‘railway undertaking’ means
railway undertaking as defined in ð Article 2 of ï Directive 2001/14/EC, and any other public or private undertaking,
the activity of which is to provide transport of goods and/or passengers by
rail on the basis that the undertaking must ensure traction,including
undertakings which provide traction only;

(d)‘technical specification for
interoperability (TSI)’ means a the specifications by which each subsystem or part of a
subsystem is covered in order to meet the essential requirements and ensure the
interoperability of the
trans-European high-speed and conventional the rail systems
system as defined in ð Article 2 of Directive xxï Directive
96/48/EC and Directive 2001/16/EC; ð on interoperability of the rail
system; ï

(e)‘common safety targets (CSTs)’
means the safety levels that must at least be reached by different parts of the
rail system (such as the conventional rail system, the high speed rail system,
long railway tunnels or lines solely used for freight transport) and by the
system as a whole, expressed in risk acceptance criteria;

(f)‘common
safety methods (CSMs)’ means the methods to be developed to describe how safety
levels and achievement of safety targets and compliance with other safety
requirements are assessed;

Ö (f)‘common
safety methods (CSMs)’ means the methods describing the assessment of safety levels
and achievement of safety targets and compliance with other safety
requirements; Õ

(g)‘ Ö national Õ safety
authority’ means the national body entrusted with the tasks regarding railway
safety in accordance with this Directive or any binational
body entrusted by Ö several Õ Member States
with these tasks in order to ensure a unified safety regime for specialised cross-border infrastructures;

(h)‘national safety rules’
means all ð binding ï rules containing railway safety ð or technical ï requirements imposed at Member State level and applicable to more than one
railway undertaking
ð undertakings ï , irrespective of the body issuing them;

(i)‘safety management system’
means the organisation and arrangements established by an infrastructure
manager or a railway undertaking to ensure the safe management of its
operations;

(j)‘investigator-in-charge’ means
a person responsible for the organisation, conduct and control of an
investigation;

(k)‘accident’ means an unwanted
or unintended sudden event or a specific chain of such events which have
harmful consequences; accidents are divided into the following categories:
collisions, derailments, level-crossing accidents, accidents to persons caused
by rolling stock in motion, fires and others;

(l)‘serious accident’ means any
train collision or derailment of trains, resulting in the death of at least one
person or serious injuries to five or more persons or extensive damage to
rolling stock, the infrastructure or the environment, and any other similar
accident with an obvious impact on railway safety regulation or the management
of safety; ‘extensive damage’ Ö above Õ means damage
that can immediately be assessed by the investigating body to cost at least EUR 2 million
in total;

(m)‘incident’ means any
occurrence, other than accident or serious accident, associated with the
operation of trains and affecting the safety of operation
Ö operations Õ;

(n)‘investigation’ means a
process conducted for the purpose of accident and incident prevention which
includes the gathering and analysis of information, the drawing of conclusions,
including the determination of causes and, when appropriate, the making of
safety recommendations;

(o)‘causes’ means actions,
omissions, events or conditions, or a combination thereof, which led to the
accident or incident;

(p)‘Agency’ means the European Railway Agency, the
Community agency for railway safety and interoperability;

ò new

(p)‘light
rail’ means an urban and/or sub-urban rail transport system with lower capacity
and lower speeds than heavy rail and metro systems, but higher capacity and
higher speeds than tram systems. Light rail systems may have their own
right-of-way or share it with road traffic and usually do not exchange vehicles
with long-distance passenger or freight traffic;

ê Corrigendum,
OJ L 220, 21.6.2004, p. 16 (adapted)

ð new

(q)‘notified bodies’ means the
bodies which are responsible for assessing the conformity or suitability for
use of the interoperability constituents or for appraising the EC ‘EC’
procedure for verification of the subsystems, as defined
in Directives 96/48/EC and 2001/16/EC;

(r)‘interoperability
constituents’ means any elementary component, group of components, subassembly
or complete assembly of equipment incorporated or intended to be incorporated
into a subsystem upon which the interoperability of the high-speed or
conventional rail system depends directly or indirectly, as
defined in ð Article 2 of Directive xx on
interoperability of the rail system ï Directive
96/48/EC and 2001/16/EC.
The concept of a ‘constituent’ covers both tangible objects and intangible
objects such as software;

ê 2008/110/EC
Art. 1.2 (adapted)

ð new

(s)‘keeper’ means the person or
entity that, being the owner of a vehicle or having the right to use it,
exploits the vehicle as a means of transport and is registered as such in the National Vehicle
Register ð national vehicle register referred
to ï (NVR) provided for in Article 33 of Directive 2008/57/EC of the European Parliament and of the Council of 17
June 2008 Ö in Article
43 of Directive XX on Õ the
interoperability of the rail system within the Community
(recast)[25],
(hereinafter referred to as the ‘Railway Interoperability Directive’);

(t)‘entity in charge of
maintenance’ means an entity in charge of maintenance of a vehicle, and
registered as such in the Ö national
vehicle register Õ NVR;

(u)‘vehicle’ means a railway
vehicle suitable for circulation on its own wheels on railway lines, with or
without traction ð in a fixed or variable
composition ï . A vehicle is composed of one or more structural and functional
subsystems or
parts of such subsystems;.

ò new

(v)‘manufacturer’
means any natural or legal person who manufactures an interoperability
constituent or subsystem or has it designed or manufactured, and markets it
under his name or trademark;

(w)‘consignor’
means the enterprise which consigns goods either on its own behalf or for a
third party;

(x)‘loader’
means any enterprise that loads packaged goods, including dangerous goods,
small containers or portable tanks onto a wagon or a container or which loads a
container, bulk-container, multiple-element gas container, tank-container or
portable tank onto a wagon;

(y)‘filler’
means any enterprise that loads goods, including dangerous goods, into a tank
(tank-wagon, wagon with demountable tank, portable tank or tank-container) into
a wagon, large container or small container for carriage in bulk, or into a
battery-wagon or multiple-element gas container.

ê Corrigendum,
OJ L 220, 21.6.2004, p. 16 (adapted)

ð new

CHAPTER II

DEVELOPMENT AND MANAGEMENT OF SAFETY

Article 4

ð Role of the actors of the rail
system in developing and improving ï
Development and
improvement of railway safety

1. Member States ð and the Agency ï shall ensure that railway safety is generally maintained and, where
reasonably practicable, continuously improved, taking into consideration the
development of Community Ö Union Õ legislation
and technical and scientific progress and giving priority to the prevention of
serious accidents.

Member States shall ensure that safety rules are laid
down, applied and enforced in an open and non-discriminatory manner, fostering
the development of a single European rail transport system.

2. Member States shall ensure that measures to
develop and improve railway safety take account of the need for a system-based
approach.

ê Corrigendum, OJ
L 220, 21.6.2004, p. 16 (adapted)

è1 2008/110/EC Art. 1.3

ð new

2. Member States shall ensure that the responsibility for the safe
operation of the railway system and the
control of risks associated with it is laid upon the infrastructure managers
and railway undertakings, obliging them:

a)      to implement necessary risk control measures, where appropriate
in cooperation with each other,

b)      to apply Ö Union
and Õ national safety rules and standards,

c)      to establish safety management systems in accordance with this
Directive.

Without prejudice to civil liability in
accordance with the legal requirements of the Member States, each
infrastructure manager and railway undertaking shall be made responsible for
its part of the system and its safe operation, including supply of material and
contracting of services, vis-à-vis users, customers, the workers concerned and
third parties. ð The risks associated with the
activities of third parties shall also be taken into account in the safety
management systems of infrastructure managers and railway undertakings. ï

34. This shall be without prejudice to the responsibility of each
Ö Each Õ manufacturer,
maintenance supplier, è1 keeper ç , service
provider and procurement entity to Ö shall Õ ensure that
rolling stock, installations, accessories and equipment and services supplied
by them comply with the specified requirements
and the conditions for use specified, so that they can be safely put
into operation by the railway undertaking and/or infrastructure manager.

ò new

4. All actors
having a relevant role in safety operations shall implement the necessary risk
control measures, where appropriate in cooperation with the others. In addition
to railway undertakings and infrastructure managers those actors include:

(a)
the entities in charge
of the maintenance of vehicles;

(b)
the consignors, the
loaders and the fillers, which have a role in safe loading operations,

(c)
the manufacturers,
which are responsible for the design and manufacturing of safe railway
vehicles, parts, components or sub-assemblies of vehicle, railway
infrastructure, energy and track side control command, as well as issuing of
the preliminary maintenance documentation associated to the vehicle.

5. Each railway undertaking,
infrastructure manager and entity in charge of maintenance shall ensure that
its contractors implement risk control measures. To this end, each railway
undertaking, infrastructure manager and entity in charge of maintenance shall
apply the common methods for monitoring processes set out in the Regulation
(EU) 1078/2012[26].
Their contractors shall apply this process through contractual arrangements.
Railway undertakings, infrastructure managers and entities in charge of
maintenance shall disclose their contractual arrangements on request of the
Agency or the national safety authority.

6. Any actor of
the rail system who identifies a safety risk related to defects and
construction non-conformities or malfunctions of technical equipment, including
those of structural sub-systems, shall report those risks to the other parties
involved to enable them to take any necessary corrective actions to ensure
continuous achievement of the safety performance of the rail system.

7. In case of
exchange of vehicles between railways undertakings, all actors shall exchange
all information relevant to safe operation. Such information shall include
information on the status and history of the vehicle, elements of the maintenance
files, traceability of loading operations, and consignment notes. It shall be
sufficiently detailed to allow an assessment of the risks of operating the
vehicle by the railway undertaking.

ê Corrigendum,
OJ L 220, 21.6.2004, p. 16 (adapted)

Article 5

Common safety indicators

1. In order to facilitate the assessment of
the achievement of the CST and to provide for the monitoring of the general
development of railway safety Member States shall collect information on common
safety indicators (CSIs) through the annual reports of the national safety authorities as referred to in
Article 18.

The first reference
year for the CSIs shall be 2006; they shall be reported on in the annual report
the following year.

The CSIs shall be established as set out in
Annex I.

ò new

2. The Commission
shall be empowered to adopt delegated acts in accordance with Article 26
concerning the revision of Annex I, in particular to update the CSIs taking
into account of the technical progress and to adapt the common methods for
calculating accident costs.

ê 2008/110/EC
Art. 1.4 (adapted)

2. Before 30 April
2009 Annex I shall be revised, in particular to incorporate therein the common
definitions of the CSIs and the common methods for calculating accident costs.
This measure, designed to amend non-essential elements of this Directive, shall
be adopted in accordance with the regulatory procedure with scrutiny referred
to in Article 27(2a).

ê Corrigendum,
OJ L 220, 21.6.2004, p. 16

Article 6

Common safety methods

ê 2008/110/EC
Art. 1.5(a) (adapted)

1. An initial series
of CSMs covering, as a minimum, the methods described in paragraph 3(a) shall
be adopted by the Commission before 30 April 2008. They shall be published in
the Official Journal of the European Union.

A second series of
CSMs covering the remaining methods described in paragraph 3 shall be adopted
by the Commission before 30 April 2010. They shall be published in the Official
Journal of the European Union.

These measures,
designed to amend non-essential elements of this Directive by supplementing it,
shall be adopted in accordance with the regulatory procedure with scrutiny
referred to in Article 27(2a).

ê Corrigendum,
OJ L 220, 21.6.2004, p. 16 (adapted)

ð new

2. Draft CSMs and
draft revised CSMs shall be drawn up by the Agency under mandates which shall
be adopted in accordance with the procedure referred to in Article 27(2).

The draft CSMs shall
be based on an examination of existing methods in the Member States.

31. The
CSMs shall describe how the safety level Ö levels Õ , and the achievement of safety targets and compliance
with other safety requirements, are assessed, by elaborating and defining:

(a) risk evaluation and
assessment methods,

(b) methods for assessing
conformity with requirements in safety certificates and safety authorisations
issued in accordance with Articles 10 and 11,

and

ê 2008/110/EC
Art. 1.5(b)

(c) as far as they are not yet covered by TSIs,
methods to check that the structural subsystems of the railway system are
operated and maintained in accordance with the relevant essential requirements;
.

ò new

(c)
methods for supervision to be applied by national safety authorities and
methods for monitoring to be applied by railway undertakings, infrastructure
managers and entities in charge of maintenance;

(d)
any other methods covering a process of the safety management system which need
to be harmonised at Union level.

ê 2008/110/EC
Art. 1.5(c)

4. The CSMs shall be revised at regular intervals,
taking into account the experience gained from their application and the global
development of railway safety and the obligations on Member States as laid down
in Article 4(1). This measure, designed to amend non-essential implement
elements of this Directive, inter alia, by supplementing it, shall be adopted
in accordance with the regulatory examination procedure with scrutiny
referred to in Article 27(2a).

ò new

2. The Commission
shall issue mandates to the Agency to draft the new CSMs referred in point 1(d),
to review and update all CSMs to take account of developments in technology or
social requirements and to make the relevant recommendations to the Commission.

When drafting the
recommandations, the Agency shall take account of the opinion of the users and
of the stakeholders. The recommendations shall enclose a report on the results
of this consultation and a report assessing the impact of the new CSM to be
adopted.

3. The CSMs shall
be revised at regular intervals, taking into account the experience gained from
their application and the global development of railway safety and in view of
generally maintaining and where reasonably praticable, continuously improving
safety.

4. The Commission
shall be empowered to adopt delegated acts laying down CSMs and revised CSMs in
accordance with Article 26.

ê Corrigendum,
OJ L 220, 21.6.2004, p. 16 (adapted)

5. Member States shall make any necessary
amendments to their national safety rules in the
light of the adoption of CSMs and revisions to them.

Article 7

Common safety targets

1. The CSTs shall be
developed, adopted and revised following the procedures laid down in this
Article.

2. Draft CSTs and
draft revised CSTs shall be drawn up by the Agency under mandates which shall
be adopted in accordance with the procedure referred to in Article 27(2).

ê 2008/110/EC
Art. 1.6(a) (adapted)

3.The first set of
draft CSTs shall be based on an examination of existing targets and safety
performance in the Member States and shall ensure that the current safety
performance of the rail system is not reduced in any Member State. It shall be
adopted by the Commission before 30 April 2009 and shall be published in the Official
Journal of the European Union. This measure, designed to amend
non-essential elements of this Directive, inter alia, by supplementing it,
shall be adopted in accordance with the regulatory procedure with scrutiny
referred to in Article 27(2a).

The second set of
draft CSTs shall be based on the experience gained from the first set of CSTs
and their implementation. It shall reflect any priority areas where safety
needs to be further improved. It shall be adopted by the Commission before 30
April 2011 and shall be published in the Official Journal of the European
Union. This measure, designed to amend non-essential elements of this
Directive, inter alia, by supplementing it, shall be adopted in accordance with
the regulatory procedure with scrutiny referred to in Article 27(2a).

ê Corrigendum,
OJ L 220, 21.6.2004, p. 16 (adapted)

1.4. The CSTs shall define
the Ö minimum Õ safety levels
that must at least Ö shall Õ be reached by
different parts of the railway system
and by the system as a whole in each Member State, expressed in risk acceptance
criteria for:

(a)     individual risks relating to
passengers, staff including the staff of contractors, level crossing users and
others, and, without prejudice to existing national and international liability
rules, individual risks relating to unauthorised persons on railway premises;

(b)     societal risks.

ò new

2. The Commission
shall issue a mandate to the Agency to draft revised CSTs and to make the
relevant recommendations to the Commission.

3. The CSTs shall
be revised at regular intervals, taking into account the global development of
railway safety. The revised CSTs shall reflect any priority areas where safety
needs to be further improved.

4. The Commission
shall be empowered to adopt delegated acts laying down revised CSTs in
accordance with Article 26.

ê 2008/110/EC
Art. 1.6(b) (adapted)

5. The CSTs shall be
revised at regular intervals, taking into account the global development of
railway safety. This measure, designed to amend non-essential elements of this
Directive, inter alia, by supplementing it, shall be adopted in accordance with
the regulatory procedure with scrutiny referred to in Article 27(2a).

ê Corrigendum,
OJ L 220, 21.6.2004, p. 16 (adapted)

5.6
Member States shall make any necessary amendments to their national safety rules in order to achieve at least the CSTs, and
any revised CSTs, in accordance with the implementation timetables attached to
them. They shall notify these rules to the Commission in accordance with
Article 8(3).

Article 8

National safety rules

In application of this Directive, Member States shall
establish binding national safety rules and shall ensure that they are published
and made available to all infrastructure managers, railway undertakings,
applicants for a safety certificate and applicants for a safety authorisation
in clear language that can be understood by the parties concerned.

ò new

1. Member States
may lay down new national rules only in the following cases:

(a)     where rules concerning existing safety methods are not covered
by a CSM;

(b)     as an urgent preventive measure, in particular following an accident.

Member States
shall ensure that national rules take account of the need for a system-based
approach.

2. If a Member
State intends to introduce a new national rule, it shall notify the draft of
that rule to the Agency and the Commission using the appropriate IT system in
accordance with article 23 of Regulation (EU) No .../... [Agency Regulation].

3. If the Agency
becomes aware of any national rule notified or not which that has become
redundant or is in conflict with the CSMs or any other Union legislation
adopted after the application of the national rule the procedure established in
article 22 of Regulation (EU) No .../... [Agency Regulation] shall apply.

4. Member States
shall ensure that national rules are made available free of charge and in a
language that can be understood by all parties concerned.

5. National rules
notified in accordance with this Article are not subject to the notification
procedure set out in Directive 98/34/EC.

ê Corrigendum,
OJ L 220, 21.6.2004, p. 16 (adapted)

2. Before 30 April 2005 Member States shall
notify the Commission of all the relevant national safety rules in force, as
set out in Annex II, and indicate their area of application.

The notification shall further provide information on
the principal content of the rules with references to the legal texts, on the
form of legislation and on which body or organisation is responsible for its
publication.

3. Not later than four years after the entry into
force of this Directive, the Agency shall evaluate the way in which national
safety rules are published and made available in accordance with paragraph 1.
It shall also make appropriate recommendations to the Commission for the
publication of such rules in order to make the relevant information more easily
accessible.

4. Member States shall forthwith notify the
Commission of any amendment to the notified national safety rules and of any
new such rule that might be adopted, unless the rule is wholly relating to the
implementation of TSIs.

5. In order to keep the introduction of new specific
national rules to a minimum and thus prevent further barriers from being
created, and with a view to the gradual harmonisation of safety rules, the
Commission shall monitor the introduction of new national rules by Member
States.

6. If, after the adoption of CSTs, a Member State
intends to introduce a new national safety rule which requires a higher safety
level than the CSTs, or if a Member State intends to introduce a new national
safety rule which may affect operations of railway undertakings from other
Member States on the territory of the Member State concerned, the Member State
shall consult all interested parties in due time and the procedure in paragraph
7 shall apply.

7. The Member State shall submit the draft safety
rule to the Commission for examination, stating the reasons for introducing it.

If the Commission finds that the draft safety rule is
incompatible with the CSMs or with achieving at least the CSTs, or that it
constitutes a means of arbitrary discrimination or a disguised restriction on
rail transport operations between Member States, a Decision, addressed to the
Member State concerned, shall be adopted in accordance with the procedure
referred to in Article 27(2).

If the Commission has serious doubts as to the
compatibility of the draft safety rule with the CSMs or with achieving at least
the CSTs, or considers that it constitutes a means of arbitrary discrimination
or a disguised restriction on rail transport operations between Member States,
the Commission shall immediately inform the Member State concerned, which shall
suspend the adoption, entry into force or implementation of the rule until a
Decision is adopted, within a period of six months, in accordance with the
procedure referred to in Article 27(2).

Article 9

Safety management systems

1. Infrastructure managers and railway
undertakings shall establish their safety management systems to ensure that the
railway system can achieve at least the
CSTs, is in conformity with the national safety rules
described in Article 8 and Annex II and with safety requirements
laid down in the TSIs, and that the relevant parts of CSMs Ö and rules
notified under Article 8 Õ are applied.

2. The safety management system shall meet
the requirements and contain the elements laid down in
Annex III, adapted to the character, extent and other conditions of the
activity pursued. It shall ensure the control of all risks associated with the
activity of the infrastructure manager or railway undertaking, including the
supply of maintenance and material and the use of contractors. Without
prejudice to existing national and international liability rules, the safety
management system shall also take into account, where appropriate and
reasonable, the risks arising as a result of activities by other parties.

ò new

The Commission
shall establish, by means of implementing acts, elements of the safety
management system. Those implementing acts shall be adopted in accordance with
the examination procedure referred to in Article 27(2).

ê Corrigendum,
OJ L 220, 21.6.2004, p. 16 (adapted)

3. The safety management system of any
infrastructure manager shall take into account the effects of operations by
different railway undertakings on the network and make provisions to allow all
railway undertakings to operate in accordance with TSIs and national safety rules and with Ö the Õ conditions
laid down in their safety certificate. It shall
furthermore Ö The safety
management systems shall Õ be developed
with the aim of coordinating the emergency procedures of the infrastructure
manager with all railway undertakings that operate on its infrastructure.

4. Each year all infrastructure managers
and railway undertakings shall submit to the Ö national Õ safety
authority before 30 June an annual safety report concerning the preceding
calendar year. The safety report shall contain:

(a)     information on how the organisation's organisation’s corporate
safety targets are met and the results of safety plans;

(b)     the development of national safety
indicators, and of the CSIs laid down in Annex I, as far as it is relevant to
the reporting organisation;

(c)     the results of internal safety
auditing;

(d)     observations on deficiencies and malfunctions
of railway operations and infrastructure management that might be relevant for
the Ö national Õ safety
authority.

ê Corrigendum,
OJ L 220, 21.6.2004, p. 16

ð new

CHAPTER III

SAFETY CERTIFICATION AND AUTHORISATION

Article 10

Safety certificates ð Single safety certificate ï

ò new

1. Access to the
railway infrastructure shall be granted only to railway undertakings which hold
the single safety certificate.

2. The single
safety certificate shall be granted by the Agency on the basis of the evidence
that the railway undertaking has established its safety management system in
accordance with Article 9 and meets the requirements laid down in TSIs and in other
relevant legislation in order to control risks and provide transport services
safely on the network.

3. The single
safety certificate shall specify the type and extent of the railway operations
covered. It shall be valid throughout the Union for equivalent operations.

ê Corrigendum,
OJ L 220, 21.6.2004, p. 16

1. In order to be granted access to the railway
infrastructure, a railway undertaking must hold a safety certificate as
provided for in this Chapter. The safety certificate may cover the whole
railway network of a Member State or only a defined part thereof.

ê 2008/110/EC
Art. 1.7(a)

The purpose of the safety certificate is to
provide evidence that the railway undertaking has established its safety
management system and can meet the requirements laid down in TSIs, and other
relevant Community legislation and in national safety rules in order to control
risks and provide transport services safely on the network.

ê Corrigendum,
OJ L 220, 21.6.2004, p. 16

2. The safety certificate shall comprise:

(a) certification confirming acceptance of the
railway undertaking's safety management system as described in Article 9
and Annex III,

and

ê 2008/110/EC
Art. 1.7(b)

(b) certification confirming acceptance of the
provisions adopted by the railway undertaking to meet specific requirements
necessary for the safe supply of its services on the relevant network. These
requirements may concern the application of the TSIs and national safety rules,
including the network operating rules, acceptance of staff certificates and
authorisation to operate vehicles used by railway undertakings. The
certification shall be based on documentation submitted by the railway
undertaking as described in Annex IV.

ê Corrigendum,
OJ L 220, 21.6.2004, p. 16

3. The safety authority in the Member State where the
railway undertaking first establishes its operation shall grant the
certification in accordance with paragraph 2.

The certification granted in accordance with paragraph
2 must specify the type and extent of the railway operations covered. The
certification granted in accordance with paragraph 2(a) shall be valid
throughout the Community for equivalent rail transport operations.

4. The safety authority in the Member State in which
the railway undertaking is planning to operate additional rail transport
services shall grant the additional national certification necessary in
accordance with paragraph 2(b).

ò new

4. Three months
before the start of operation of any new service, the railway undertaking shall
notify to the relevant national safety authority the documentation confirming
that:

(a)     the railway undertaking will follow the operating rules,
including national rules made available to them in accordance with Article 8(4),
and assess the safety of their operation, taking into account the requirements
in Commission Regulation (EC) No 352/2009[27]
and ensuring that they are managing all risks through their safety management
system and that they are making all necessary arrangements to operate safely;

(b)     the railway undertaking has made the arrangements necessary for
cooperation and coordination with the infrastructure manager(s) of the
network(s) where it proposes to operate;

(c)     the railway undertaking has taken any action necessary to
ensure the safe operation of the service;

(d)     the railway undertaking has a licence issued in accordance with
Council Directive 95/18/EC[28];

(e)     the type and extent of its intended operation corresponds to
that specified in its single safety certificate.

If the national
safety authority has doubts concerning the fulfilment of one or more conditions
it shall request more information from the railway undertaking. However, this
exchange may not have any suspensive or delaying effect on the start of
operation. If the national safety authority finds evidence that one or more
conditions are not met, it shall refer the matter to the Agency, which shall
take the appropriate measures, including revocation of the certificate.

ê Corrigendum,
OJ L 220, 21.6.2004, p. 16

ð new

5. The single
safety certificate shall be renewed upon application by the railway undertaking
at intervals not exceeding five years. It shall be wholly or partly updated
whenever the type or extent of the operation is substantially altered.

The holder of the single safety certificate shall without delay inform the ð Agency ï competent
safety authority without delay of
all any
major changes in the conditions of the relevant part of the single safety
certificate. It shall furthermore notify the ð Agency ï competent
safety authority whenever new categories of staff or new types of
rolling stock are introduced.

The ð Agency ï safety
authority may require that the relevant part of the single safety
certificate be revised following substantial changes ð to ï in
the safety regulatory framework.

6. If the safety authority finds that the holder
of the safety certificate no longer satisfies the conditions for a
certification which it has issued, it shall revoke part (a) and/or (b) of the
certificate, giving reasons for its decision. The safety authority that has
revoked an additional national certification granted in accordance with
paragraph 4 shall promptly inform the safety authority that granted the
certification under paragraph 2(a) of its decision.

Similarly, a safety authority must revoke a safety
certificate if it is apparent that the holder of the safety certificate has not
used it as intended in the year following its issue.

ò new

6. If a
national safety authority finds that a holder of a single safety
certificate no longer satisfies the conditions for certification, it shall ask
the Agency to revoke it. The Agency may revoke the single safety certificate,
giving reasons for its decision. The Agency shall immediately inform all the national
safety authorities of the networks on which the railway undertaking operates.

ê Corrigendum,
OJ L 220, 21.6.2004, p. 16

ð new

76.
The ð Agency ï safety
authority shall inform the Agency ð national safety authorities ï within one month of the issue, renewal,
amendment or revocation of a ð single ï safety certificate certificates referred to in paragraph 2(a) that have been issued, renewed, amended or revoked.
It shall state the name and address of the railway undertaking, the issue date,
the scope and validity of the safety certificate and, in the case of revocation, the reasons for its
decision.

7. Before 30 April
2009 the Agency shall evaluate the development of safety certification and
submit a report to the Commission with recommendations on a strategy for
migration towards a single Community safety certificate. The Commission shall
take appropriate action following the recommendation.

ò new

8. The Agency
shall continuously monitor the effectiveness of the measures for the issuing of
single safety certificates and supervision by national safety authorities and,
where appropriate, shall make recommendations to the Commission for improvement.
These may include a recommandation for a CSM covering a process of the safety
management system which needs to be harmonised at Union level, as referred to
in Article 6(1)(d).

ò new

Article 11

Applications
for single safety certificates

1. Applications
for single safety certificates shall be submitted to the Agency. The Agency
shall take a decision on an application without delay and in any event not more
than four months after all required information and any supplementary
information requested by the Agency has been submitted. If the applicant is
requested to submit supplementary information, such information shall be
submitted promptly.

2. The Agency
shall provide detailed guidance on how to obtain the single safety certificate.
It shall list all requirements that have been laid down for the purpose of
Article 10(2) and shall publish all relevant documents.

3. An application
guidance document describing and explaining the requirements for the single
safety certificates and listing the required documents shall be made available
to applicants free of charge. The national safety authorities shall cooperate
with the Agency in disseminating such information.

ê Corrigendum,
OJ L 220, 21.6.2004, p. 16 (adapted)

ð new

Article 11 Ö 12 Õ

Safety authorisation of infrastructure
managers

1. In order to be allowed to manage and
operate a rail infrastructure, the
infrastructure manager must Ö shall Õ obtain a
safety authorisation from the Ö national Õ safety authority
in the Member State where he Ö it Õ is
established.

The safety authorisation shall comprise:

(a) authorisation confirming acceptance of the infrastructure manager’s
safety management system as described Ö laid down Õ in Article 9
and Annex III, which Ö shall
include Õ includes the procedures and provisions fulfilling Ö for
meeting Õ the
requirements necessary for the safe design, maintenance and operation of the
railway infrastructure, including, where
appropriate, Ö the Õ maintenance
and operation of the traffic control and signalling system.

and

(b) authorisation
confirming acceptance of the provisions of the infrastructure manager to meet
specific requirements necessary for the safe design, maintenance and operation
of the railway infrastructure including, where appropriate, the maintenance and
operation of the traffic control and signalling system.

2. The safety authorisation shall be
renewed upon application by the infrastructure manager at intervals not exceeding
ð of ï five years. It shall be wholly or partly updated whenever
substantial changes are made to the infrastructure, signalling or energy supply
or to the principles of its operation and maintenance. The holder of the safety
authorisation shall without delay inform the national safety authority
of all such changes.

The national safety authority may
require that the safety authorisation be revised following substantial changes
to the safety regulatory framework.

If the national safety authority
finds that an authorised infrastructure manager no longer satisfies the
conditions for a safety authorisation it shall revoke the authorisation, giving
reasons for its decisions.

ò new

3. The national
safety authority shall take a decision on an application for safety
authorisation without delay and in any event not more than four months after
all the information required and any supplementary information requested has
been submitted.

ê Corrigendum,
OJ L 220, 21.6.2004, p. 16

34. The
national safety authority shall inform
the Agency within one month of the safety authorisations that have been issued,
renewed, amended or revoked. It shall state the name and address of the
infrastructure manager, the issue date, the scope and validity of the safety
authorisation and, in case of revocation, the reasons for its decision.

Article 12

Application requirements relating to safety
certification and safety authorisation

1. The safety authority shall take a decision on an
application for safety certification or safety authorisation without delay and
in any event not more than four months after all information required and any
supplementary information requested by the safety authority has been submitted.
If the applicant is requested to submit supplementary information, such
information shall be submitted promptly.

2. In order to facilitate the establishment of new
railway undertakings and the submission of applications from railway
undertakings from other Member States, the safety authority shall give detailed
guidance on how to obtain the safety certificate. It shall list all
requirements that have been laid down for the purpose of Article 10(2) and make
all relevant documents available to the applicant.

Special guidance shall be given to railway
undertakings that apply for a safety certificate concerning services on a
defined limited part of an infrastructure, specifically identifying the rules
that are valid for the part in question.

3. An application guidance document describing and
explaining the requirements for the safety certificates and listing the
documents that must be submitted shall be made available to the applicants
free of charge. All applications for safety certificates shall be submitted in
the language required by the safety authority.

ê Corrigendum,
OJ L 220, 21.6.2004, p. 16 (adapted)

Article 13

Access to training facilities

1. Member States shall ensure that railway
undertakings applying for a safety certificate have
fair and non-discriminatory access to training facilities for train drivers and
staff accompanying the trains, whenever such training is necessary for operating services on their network or, for fulfilling
the fulfilment of requirements to obtain the
safety certificate Ö and
requirements to obtain licences and certificates under Directive 2007/59/EC[29] Õ .

The services offered must shall
include training on necessary route knowledge, operating rules and procedures,
the signalling and control command system and emergency procedures applied on
the routes operated.

Member States shall also ensure that
infrastructure managers and their staff performing vital safety tasks have fair
and non-discriminatory access to training facilities.

If the training services do not include
examinations and granting of certificates, Member States shall ensure that
railway undertakings have access to such certificationif
it is a requirement of the safety certificate.

The national
safety authority shall ensure that the provision of training services or, where
appropriate, the granting of certificates meets the safety
requirements laid down in Ö Directive
2007/59/EC, in Õ TSIs or
national safety rules described
Ö referred
to Õ in Article 8 and Annex II.

2. If the training facilities are available
only through the services of one single railway undertaking or the
infrastructure manager, Member States shall ensure that they are made available
to other railway undertakings at a reasonable and non-discriminatory price,
which is cost-related and may include a profit margin.

3. When recruiting new train drivers, staff
on board trains and staff performing vital safety tasks, railway undertakings must shall
be able to take into account any training, qualifications and experience
acquired previously from other railway undertakings. For this purpose, such
members of staff shall be entitled to have access to, obtain copies and
communicate all documents attesting to their training, qualifications and
experience.

4. In every case each
railway undertaking and each infrastructure manager Ö Railway
undertakings and infrastructure managers Õ shall be
responsible for the level of training and qualifications of its staff carrying
out safety-related work as set out in Article 9 and
Annex III.

ê 2008/57/EC
Art. 40

---

ê 2008/110/EC
Art. 1.8 (adapted)

ð new

Article 14a

Maintenance of vehicles

1. Each vehicle, before it is placed in
service or used on the network, shall have an entity in charge of maintenance
assigned to it and this entity shall be registered in the national vehicle register NVR in accordance with Article 4333 of
the Railway Interoperability Directive
XX on interoperability of the rail system.

2. A railway undertaking, an infrastructure
manager or a keeper may be an entity in charge of maintenance.

3. Without prejudice to the responsibility
of the railway undertakings and infrastructure managers for the safe operation
of a train as provided for in Article 4, the entity shall ensure that the
vehicles for which it is in charge of maintenance are in a safe state of
running by means of a system of maintenance. To this end, the entity in charge
of maintenance shall ensure that vehicles are maintained in accordance with:

(a)     the maintenance file of each vehicle;

(b)     the requirements in force including
maintenance rules and TSI provisions.

The entity in charge of maintenance shall
carry out the maintenance itself or make use of contracted maintenance
workshops.

4. In the case of freight wagons, each
entity in charge of maintenance shall be certified by a body accredited or
recognised in accordance with ð Commission Regulation (EU) No 445/2011[30] ï paragraph
5, or by a national safety authority. The
accreditation process shall be based on criteria of independence, competence
and impartiality, such as the relevant EN 45-000 series European
standards. The recognition process shall also be based on criteria of
independence, competence and impartiality.

Where the entity in charge of maintenance
is a railway undertaking or an infrastructure
manager, compliance with ð Regulation (EU) No 445/2011 ï the requirements
to be adopted under paragraph 5 shall be checked by the relevant
national safety authority pursuant to the procedures referred to in Articles Ö Article
12 Õ 10 or 11 and shall be confirmed on the certificates
specified in those procedures.

5. Based on a
recommendation by the Agency, the Commission shall, by 24 December 2010, adopt
a measure establishing a system of certification of the entity in charge of
maintenance for freight wagons. Certificates granted in accordance with this
system shall confirm compliance with the requirements referred to in paragraph
3.

The measure shall
include the requirements concerning:

(a)     the maintenance
system established by the entity;

(b)     the format and
validity of the certificate granted to the entity;

(c)     the criteria for
accreditation or recognition of body or bodies responsible for issuing
certificates and ensuring controls necessary for the functioning of the certification
system;

(d)     the date of
application of the certification system, including a transition period of one
year for existing entities in charge of maintenance.

This measure,
designed to amend non-essential elements of this Directive, by supplementing it,
shall be adopted in accordance with the regulatory procedure with scrutiny
referred to in Article 27(2a).

Based on a
recommendation by the Agency, the Commission shall, by 24 December 2018 review
this measure in order to include all vehicles and to update, if necessary, the
certification system applicable to freight wagons.

56.
The certificates granted in accordance with paragraph 45
shall be valid throughout the Ö Union Õ Community.

7.
The Agency shall evaluate the certification process implemented in accordance
with paragraph 5 by submitting a report to the Commission, no later than three
years after the entry into force of the relevant measure.

ò new

6. By 31 May
2014, the Agency shall evaluate the system of certification of the entity in
charge of maintenance for freight wagons and shall consider the opportunity for
an extension of that system to all vehicles and shall submit a report to the
Commission.

7. The Commission
shall, by means of implementing acts, adopt common conditions for certification
of the entity in charge of maintenance for all vehicles by 24 December 2016.

Those
implementing acts shall be adopted in accordance with the examination procedure
referred to in Article 27 (2).

The certification
system applicable to freight wagons adopted by Regulation (EU) No 445/2011
shall continue to apply until the implementing acts referred to in the first
subparagraph are adopted.

ê 2008/110/EC
Art. 1.8 (adapted)

ð new

Ö Article 15 Õ

Ö Derogations
from the system of certification of the entities in charge of maintenance Õ

18.
Member States may decide to fulfil the obligations to identify the entity in
charge of maintenance and to certify it through alternative measures ð respect to the system of
certification established in article 14 ï , in the following cases:

(a)     vehicles registered in a third country
and maintained according to the law of that country;

(b)     vehicles which are used on networks or
lines the track gauge of which is different from that of the main rail network
within the Community Ö Union Õ and for which
fulfilment of the requirements referred to in Article
14(3) paragraph
3 is ensured by international
agreements with third countries;

(c)     vehicles identified
in Ö covered
by Õ Article 2(2), and military equipment and special transport
requiring an ad hoc national safety authority permit to be delivered prior to
the service. In this case derogations shall be granted for periods not longer
than five years.

2. Such alternative measures Ö Alternative
measures referred to in paragraph 1 Õ shall be
implemented through derogations to be granted by the relevant national safety
authority Ö or the
Agency Õ :

(a)     when registering vehicles pursuant to
Article 4333 of Directive
xx on interoperability of the rail system the Railway Interoperability Directive, as
far as the identification of the entity in charge of maintenance is concerned;

(b)     when delivering safety certificates
and authorisations to railway undertakings and infrastructure managers pursuant
to Articles 10 and 1211 of this Directive, as far as the
identification or certification of the entity in charge of maintenance is
concerned.

3. Such derogations shall be identified and justified in the annual
safety report referred to in Article 18 of this Directive.
Where it appears that undue safety risks are being taken on the Community Ö Union Õ rail system,
the Agency shall immediately inform the Commission thereof. The Commission
shall make contact with the parties involved and, where appropriate, request
the Member State to withdraw its derogation decision.

ê Corrigendum,
OJ L 220, 21.6.2004, p. 16 (adapted)

Article 15

Harmonisation
of safety certificates

1. Before 30 April 2009 decisions on common
harmonised requirements in accordance with Article 10(2)(b) and Annex IV
and a common format for application guidance documents shall be adopted in
accordance with the procedure referred to in Article 27(2).

2. The Agency shall recommend common harmonised
requirements and a common format for application guidance documents under a
mandate which shall be adopted in accordance with the procedure referred to in
Article 27(2).

CHAPTER IV

Ö NATIONAL Õ SAFETY AUTHORITIES

Article 16

Tasks

1. Each Member State shall establish a
safety authority. This authority may be the Ministry responsible for transport matters
and shall be independent in its organisation, legal structure and
decision making from any railway undertaking, infrastructure manager, applicant
and procurement entity.

ò new

2. The national safety
authority shall be entrusted with at least the following tasks:

(a)     authorising the placing in service of the energy and
infrastructure subsystems constituting the rail system in accordance with
Article 18(2) of Directive XX on interoperability of the rail system;

(b)     supervising that the interoperability constituents are in
compliance with the essential requirements as required by Article [x] of
Directive [XX] on interoperability of the rail system;

(c)     assigning a European vehicle numbering in accordance with
Article 42 of Directive [XX] on interoperability of the rail system;

(d)     on request of the Agency, supporting it in the issue, renewal,
amendment and revocation of single safety certificates granted in accordance with
Article 10 and checking that the conditions and requirements laid down in them
are met and that railway undertakings are operating in accordance with the
requirements of Union or national law;

(e)     issuing, renewing, amending and revoking safety authorisations
granted in accordance with Article 12 and checking that the conditions and
requirements laid down in them are met and that infrastructure managers are
operating in accordance with the requirements of Union or national law;

(f)      monitoring, promoting, and, where appropriate, enforcing and
updating the safety regulatory framework including the system of national
rules;

(g)     supervising the railway undertakings in accordance with Annex IV
to Regulation (EU) No 1158/2010[31]
and with Regulation (EU) No 1077/2012[32];

(h)     supervising that vehicles are duly registered in the national
vehicle register and that safety‐related information contained in it is
accurate and up to date.

3. The national
safety authority of the Member State where the railway undertaking operates
shall make necessary arrangements to coordinate with the Agency and other
safety authorities to ensure that any key information on the specific railway
undertaking is shared, particularly on known risks and its safety performance.
The national safety authority shall also share information with other relevant
national safety authorities if it finds that the railway undertaking is not
taking the necessary risk control measures.

It shall inform
the Agency immediately of any concerns about the safety performance of the
railway undertakings under supervision. The Agency shall take appropriate
action provided for in Article 10(6).

ê Corrigendum,
OJ L 220, 21.6.2004, p. 16

2. The safety authority shall be entrusted with at
least the following tasks:

ê 2008/110/EC
Art. 1.9(a)

(a) authorising the placing in service of the
structural subsystems constituting the rail system in accordance with Article
15 of the Railway Interoperability Directive and checking that they are
operated and maintained in accordance with the relevant essential requirements;

ê 2008/110/EC
Art. 1.9(b)

---

ê Corrigendum,
OJ L 220, 21.6.2004, p. 16

(c) supervising that the interoperability
constituents are in compliance with the essential requirements as required by
Article 12 of Directives 96/48/EC and 2001/16/EC;

(d) authorising the placing in service of
new and substantially altered rolling stock that is not yet covered by a TSI;

(e) the issue, renewal, amendments and
revocation of relevant parts of safety certificates and of safety
authorisations granted in accordance with Articles 10 and 11 and
checking that conditions and requirements laid down in them are met and that
infrastructure managers and railway undertakings are operating under the
requirements of Community or national law;

(f) monitoring, promoting, and, where
appropriate, enforcing and developing the safety regulatory framework including
the system of national safety rules;

ê 2008/110/EC
Art. 1.9(c)

(g) supervising that vehicles are duly registered in
the NVR and that safety related information contained therein, is accurate and
kept up to date;

ê Corrigendum,
OJ L 220, 21.6.2004, p. 16 (adapted)

ð new

4. The tasks referred to in
paragraph 2 may not be transferred or subcontracted to any
infrastructure manager, railway undertaking or procurement entity.

Article 17

Decision-making principles

1. The Ö national Õ safety authority Ö authorities Õ shall carry
out its Ö their Õ tasks in an
open, non-discriminatory and transparent way. In particular it Ö they Õ shall allow
all parties to be heard and give reasons for its Ö their Õ decisions.

It Ö They Õ shall promptly
respond to requests and applications and communicate its
Ö their Õ requests for
information without delay and adopt all its Ö their Õ decisions
within four months after all requested information has been provided. It Ö They Õ may at any
time request the technical assistance of infrastructure managers and railway
undertakings or other qualified bodies when it is Ö they are Õ carrying out
the tasks referred to in Article 16.

In the process of developing the national
regulatory framework, the Ö national Õ safety authority
shall consult all persons involved and interested parties, including
infrastructure managers, railway undertakings, manufacturers and maintenance
providers, users and staff representatives.

2. Ö The Agency
and the national Õ safety authority Ö authorities Õ shall be free
to carry out all inspections and investigations that are needed for
accomplishment of its Ö their Õ tasks and it Ö they Õ shall be
granted access to all relevant documents and to premises, installations and
equipment of infrastructure managers and railway undertakings.

3. Member States shall take the measures
necessary to ensure that decisions taken by the Ö national Õ safety
authority are subject to judicial review.

4. The Ö national Õ safety
authorities shall conduct an active exchange of views and experience ð within the network established by
the Agency in order to harmonise their decision-making criteria across the
Union.ï for
the purpose of harmonising their decision-making criteria across the Community.
Their cooperation shall in particular aim at facilitating and coordinating the
safety certification of railway undertakings which have been granted
international train paths in accordance with the procedure laid down in Article
15 of Directive 2001/14/EC.

The Agency shall support the safety authorities in
these tasks.

ò new

5. The scope of
cooperation between the Agency and the national safety authorities in all
matters relating to inspections on site related to issuing the single safety
certificate and supervision of the railway undertakings after issuing the
single safety certificate shall be set out in contractual or other arrangements
between the Agency and the national safety authorities.

ê Corrigendum,
OJ L 220, 21.6.2004, p. 16

Article 18

Annual report

Each year the national safety authority shall publish an annual
report concerning its activities in the preceding year and send it to the
Agency by 30 September at the latest. The report shall contain information
on:

(a)     the development of railway safety,
including an aggregation at Member State level of the CSIs laid down in Annex
I;

(b)     important changes in legislation and
regulation concerning railway safety;

(c)     the development of safety
certification and safety authorisation;

(d)     results of and experience relating to
the supervision of infrastructure managers and railway undertakings;

ê 2008/110/EC
Art. 1.10 (adapted)

ð new

(e)     the derogations that have been decided in accordance with
Article 14a Ö 14 Õ (8).;

ð (f) all inspections or audits of
railway undertakings operating in the Member State in the course of supervision
activities. ï

ê Corrigendum,
OJ L 220, 21.6.2004, p. 16

CHAPTER V

ACCIDENT AND INCIDENT INVESTIGATION

Article 19

Obligation to investigate

1. Member States shall ensure that an
investigation is carried out by the investigating body referred to in Article
21 after serious accidents on the railway
system, the objective of which is possible improvement of railway safety and
the prevention of accidents.

2. In addition to serious accidents, the
investigating body referred to in Article 21 may investigate those
accidents and incidents which under slightly different conditions might have
led to serious accidents, including technical failures of the structural
subsystems or of interoperability constituents of the European rail system.

The investigating body shall, at its
discretion, decide whether or not an investigation of such an accident or
incident shall be undertaken. In its decision it shall take into account:

(a)     the seriousness of the accident or
incident;

(b)     whether it forms part of a series of
accidents or incidents relevant to the system as a whole;

(c)     its impact on railway safety on a Community Union
level,

and

(d)     requests from infrastructure managers,
railway undertakings, the national safety
authority or the Member States.

3. The extent of investigations and the
procedure to be followed in carrying out such investigations shall be
determined by the investigating body, taking into account the principles and the objectives of Articles
20 and 22 and depending on the lessons it expects to draw from the accident or
incident for the improvement of safety.

4. The investigation shall in no case be
concerned with apportioning blame or liability.

Article 20

Status of investigation

1. Member States shall define, in the
framework of their respective legal system, the legal status of the
investigation that will shall enable the investigators-in-charge
to carry out their task in the most efficient way and within the shortest time.

2. In accordance with the legislation in force in the
Member States and, where appropriate, in cooperation with the authorities
responsible for the judicial inquiry, the investigators shall, as soon as
possible, be given:

ò new

2. In accordance
with the legislation in force, Member States shall ensure full cooperation by
the authorities responsible for the judicial inquiry, and shall ensure that the
investigators are, as soon as possible, given:

ê Corrigendum,
OJ L 220, 21.6.2004, p. 16 (adapted)

(a)     access to the site of the accident or
incident as well as to the rolling stock involved, the related infrastructure
and traffic control and signalling installations;

(b)     the right to an immediate listing of
evidence and controlled removal of wreckage, infrastructure installations or
components for examination or analysis purposes;

(c)     access to and use of the contents of
on-board recorders and equipment for recording of verbal messages and
registration of the operation of the signalling and traffic control system;

(d)     access to the results of examination
of the bodies of victims;

(e)     access to the results of examinations
of the train staff and other railway staff involved in the accident or
incident;

(f)      the opportunity to question the
railway staff involved and other witnesses;

(g)     access to any relevant information or
records held by the infrastructure manager, the railway undertakings involved
and the Ö national Õ safety
authority.

3. The investigation shall be accomplished
independently of any judicial inquiry.

Article 21

Investigating body

1. Each Member State shall ensure that
investigations of accidents and incidents referred to in Article 19 are
conducted by a permanent body, which shall comprise at least one investigator
able to perform the function of investigator-in-charge in the event of an
accident or incident. This body shall be independent in its organisation, legal
structure and decision-making from any infrastructure manager, railway
undertaking, charging body, allocation body and notified body, and from any
party whose interests could conflict with the tasks entrusted to the
investigating body. It shall furthermore be functionally independent from the Ö national Õ safety
authority and from any regulator of railways.

2. The investigating body shall perform its
tasks independently of the organisations referred to in paragraph 1 and shall
be able to obtain sufficient resources to do so. Its investigators shall be
afforded status giving them the necessary guarantees of independence.

3. Member States shall make provision that
railway undertakings, infrastructure managers and, where appropriate, the Ö national Õ safety authority,
are obliged immediately to report accidents and incidents referred to in
Article 19 to the investigating body. The investigating body shall be able to
respond to such reports and make the necessary arrangements to start the
investigation no later than one week after receipt of the report concerning the
accident or incident.

4. The investigating body may combine its
tasks under this Directive with the work of investigating occurrences other
than railway accidents and incidents as long as such investigations do not
endanger its independence.

5. If necessary the investigating body may
request the assistance of investigating bodies from other Member States or from
the Agency to supply expertise or to carry out technical inspections, analyses
or evaluations.

6. Member States may entrust the
investigating body with the task of carrying out investigations of railway
accidents and incidents other than those referred to in Article 19.

7. The investigating bodies shall conduct
an active exchange of views and experience for the purpose of developing
common investigation methods, drawing up common principles for follow-up of
safety recommendations and adaptation to the development of technical and
scientific progress.

The Agency shall support the investigating
bodies in this task.

Article 22

Investigation procedure

1. An accident or incident referred to in
Article 19 shall be investigated by the investigation body of the Member State
in which it occurred. If it is not possible to establish in which Member State
it occurred or if it occurred on or close to a border installation between two
Member States the relevant bodies shall agree which one of them will shall
carry out the investigation or shall agree to carry it out in cooperation. The
other body shall in the first case be allowed to participate in the
investigation and fully share its results.

Investigation bodies from another Member
State shall be invited to participate in an investigation whenever a railway
undertaking established and licensed in that Member State is involved in the
accident or incident.

This paragraph shall not preclude Member
States from agreeing that the relevant bodies should
shall carry out investigations in
cooperation in other circumstances.

2. For each accident or incident the body
responsible for the investigation shall arrange for the appropriate means,
comprising the necessary operational and technical expertise to carry out the
investigation. The expertise may be obtained from inside or outside the body,
depending on the character of the accident or incident to be investigated.

3. The investigation shall be carried out
with as much openness as possible, so that all parties can be heard and can
share the results. The relevant infrastructure manager and railway
undertakings, the Ö national Õ safety
authority, victims and their relatives, owners of damaged property,
manufacturers, the emergency services involved and representatives of staff and
users shall be regularly informed of the investigation and its progress and, as
far as practicable, shall be given an opportunity to submit their opinions and
views to the investigation and be allowed to comment on the information in
draft reports.

4. The investigating body shall conclude
its examinations at the accident site in the shortest possible time in order to
enable the infrastructure manager to restore the infrastructure and open it to
rail transport services as soon as possible.

Article 23

Reports

1. An investigation of an accident or
incident referred to in Article 19 shall be the subject of reports in a form
appropriate to the type and seriousness of the accident or incident and the
relevance of the investigation findings. The reports shall state the objectives
of the investigations as referred to in Article 19(1) and contain, where
appropriate, safety recommendations.

2. The investigating body shall make public
the final report in the shortest possible time and normally not later than 12
months after the date of the occurrence. The report
shall, as close as possible, follow the reporting structure laid down in Annex V.
The report, including the safety recommendations, shall be communicated to the
relevant parties referred to in Article 22(3) and to bodies and parties
concerned in other Member States.

ò new

The Commission shall
establish, by means of implementing acts, the content of accident and incident
investigation reports. Those implementing acts shall be adopted in accordance
with the examination procedure referred to in Article 27(2).

ê Corrigendum,
OJ L 220, 21.6.2004, p. 16

3. Each year the investigating body shall
publish by 30 September at the latest an annual report accounting for the
investigations carried out in the preceding year, the safety recommendations
that were issued and actions taken in accordance with recommendations issued
previously.

ê Corrigendum,
OJ L 220, 21.6.2004, p. 16 (adapted)

Article 24

Information to be sent to the
Agency

1. Within one week after the decision to
open an investigation the investigating body shall inform the Agency thereof.
The information shall indicate the date, time and place of the occurrence, as
well as its type and its consequences as regards fatalities, injuries and
material damage.

2. The investigating body shall send the
Agency a copy of the final report referred to in Article 23(2) and of the
annual report referred to in Article 23(3).

Article 25

Safety recommendations

1. A safety recommendation issued by an
investigating body shall in no case create a presumption of blame or liability
for an accident or incident.

2. Recommendations shall be addressed to
the Ö Agency,
to the national Õ safety
authority and, where needed by reason of the character of the recommendation,
to other bodies or authorities in the Member State or to other Member States.
Member States and their Ö national Õ safety
authorities shall take the necessary measures to ensure that the safety
recommendations issued by the investigating bodies are duly taken into
consideration, and, where appropriate, acted upon.

3. The Ö national Õ safety
authority and other authorities or bodies or, when appropriate, other Member
States to which recommendations have been addressed, shall report back at least
annually to the investigating body on measures that are taken or planned as a
consequence of the recommendation.

CHAPTER VI

FINAL PROVISIONS

ê 2008/110/EC
Art. 1.11 (adapted)

Article 26

Adaptation of
the Annexes

The Annexes shall be
adapted to scientific and technical progress. This measure, designed to amend
non-essential elements of this Directive, shall be adopted in accordance with
the regulatory procedure with scrutiny referred to in Article 27(2a).

ò new

Article 26

Exercise
of delegation

1. The power to
adopt delegated acts is conferred on the Commission subject to the conditions
laid down in this Article.

2. The power to
adopt delegated acts referred to in Articles 5(2) and 7(2) shall be conferred
on the Commission for an indeterminate period of time.

3. The delegation
of power referred to in Article 5(2) and 7(2) may be revoked at any time by the
European Parliament or by the Council. A decision to revoke shall put an end to
the delegation of the power specified in that decision. It shall take effect
the day following the publication of the decision in the Official Journal of
the European Union or at a later date specified therein. It shall not affect
the validity of any delegated acts already in force.

4. As soon as it
adopts a delegated act, the Commission shall notify it simultaneously to the
European Parliament and to the Council.

5. A delegated
act adopted pursuant to Articles 5(2) and 7(2) shall enter into force only if
no objection has been expressed by either the European Parliament or the
Council within a period of two months of notification of that act to the
European Parliament and the Council, or if, before expiry of that period, the
European Parliament and the Council have both informed the Commission that they
will not object. The period shall be extended by two months at the initiative
of the European Parliament or the Council.

ê Corrigendum,
OJ L 220, 21.6.2004, p. 16

ð new

Article 27

Committee procedure

1. The Commission shall be assisted by the Committee
set up by Article 21 of Directive 96/48/EC.

ð 1. The Commission shall be assisted
by a committee. That committee shall be a committee within the meaning of
Regulation (EU) No 182/2011. ï

2. Where reference is made to this paragraph,
Articles 5 and 7 of Decision 1999/468/EC shall apply, having regard to the
provisions of Article 8 thereof.

ð 2. Where reference is made to this
paragraph, Article 5 of Regulation (EU) No 182/2011 shall apply. ï

The period laid down in Article 5(6) of Decision
1999/468/EC shall be set at three months.

ê 2008/110/EC
Art. 1.12(a) (adapted)

2a. Where reference
is made to this paragraph, Article 5a(1) to (4) and Article 7 of Decision
1999/468/EC shall apply, having regard to the provisions of Article 8 thereof.

ê Corrigendum,
OJ L 220, 21.6.2004, p. 16 (adapted)

3. Where reference is
made to this paragraph, Article 3 and 7 of Decision 1999/468/EC shall apply,
having regard to the provisions of Article 8 thereof.

ê 2008/110/EC
Art. 1.12(b)

---

ê Corrigendum,
OJ L 220, 21.6.2004, p. 16

Article 28

Implementing measures

1. Member States may bring any measures concerning the
implementation of this Directive to the attention of the Commission.
Appropriate decisions shall be adopted in accordance with the procedure
referred to in Article 27(2).

2. At the request of a Member State or on its own
initiative the Commission shall, in a specific case, examine the application
and enforcement of provisions concerning safety certification and safety
authorisation, and within two months of receipt of such a request decide in
accordance with the procedure referred to in Article 27(2) whether the
related measure may continue to be applied. The Commission shall communicate
its decision to the European Parliament, the Council and the Member States.

ê Corrigendum,
OJ L 220, 21.6.2004, p. 16 (adapted)

CHAPTER VII

GENERAL AND FINAL
PROVISIONS

Article 29

Amendments to
Directive 95/18/EC

Directive 95/18/EC is
hereby amended as follows:

1. Article
8 shall be replaced by the following:

‘Article 8

The
requirements relating to professional competence shall be met when an applicant
railway undertaking has or will have a management organisation which possesses
the knowledge and/or experience necessary to exercise safe and reliable
operational control and supervision of the type of operations specified in the
licence.’»

2. in the
Annex, Section II shall be deleted.

Article 30

Amendments to
Directive 2001/14/EC

Directive 2001/14/EC
is hereby amended as follows:

1. the
title shall be replaced by the following:

‘Directive
2001/14/EC of the European Parliament and of the Council of 26 February
2001 on the allocation of railway infrastructure capacity and the levying of
charges for the use of railway infrastructure’»

2. in
Article 30(2), point (f) shall be replaced by the following:

‘(f)
arrangements for access in accordance with Article 10 of Council Directive
91/440/EEC of 29 July 1991 on the development of the Community's railways[33]
as amended by Directive 2004/51/EC of the European Parliament and of the
Council of 30 April 2004 amending Council Directive 91/440/EEC on the
development of the Community's railways[34].’»

3. Article
32 shall be deleted,

4. in
Article 34, paragraph 2 shall be replaced by the following:

‘2. At the
request of a Member State or on its own initiative the Commission shall, in a
specific case, examine the application and enforcement of provisions concerning
charging, capacity allocation, and within two months of receipt of such a
request decide in accordance with the procedure referred to in Article 35(2)
whether the related measure may continue to be applied. The Commission
shall communicate its decision to the European Parliament, the Council and to
the Member States.’»

Article 31 Ö 28 Õ

Report and further Community Ö Union Õ action

The
Commission shall submit to the European Parliament and to the Council before 30
April 2007 and every five years thereafter a report on the implementation of
this Directive.

ò new

On the basis of
relevant information provided by the Agency, the Commission shall submit
to the European Parliament and to the Council before [specific date to be
inserted by OPOCE - five years after the date of entry into force] and
every five years thereafter a report on the implementation of this Directive.

ê Corrigendum,
OJ L 220, 21.6.2004, p. 16 (adapted)

The report shall be accompanied where
necessary by proposals for further Community Ö Union Õ action.

Article 32Ö 29 Õ

Penalties

The Member States shall lay down the rules
on penalties applicable to infringements of the national provisions adopted
pursuant to this Directive and shall take all measures necessary to ensure that
they are implemented. The penalties provided for must be effective,
proportionate, non-discriminatory and dissuasive.

The Member States shall notify those rules
to the Commission by the date specified in Article 33
Ö 32(1) Õ and shall
notify it without delay of any subsequent amendment affecting them.

ò new

Article 30

Transitional
provisions

Annexes III and V
to Directive 2004/49/EC shall apply until the date of application of the
implementing acts referred to in Articles 6(2) and (3), 9(2), 14(7) and 23(2) of
this Directive.

Until [specific
date to be inserted by OPOCE - two years after the date of entry into force],
the national safety authorities shall continue to grant safety certificates in
accordance with the provisions of Directive 2004/49/EC. Such safety
certificates shall be valid until their date of expiry.

Article 31

Recommendations
and opinions and of the Agency

The Agency shall
provide recommendations and opinions in accordance with Article 15 of
Regulation .../... [Agency Regulation] for the purpose of application of this
Directive. These recommendations and opinions will serve as basis for any Union
measure adopted pursuant this Directive.

ê Corrigendum,
OJ L 220, 21.6.2004, p. 16 (adapted)

ð new

Article 33 Ö 32 Õ

Implementation Ö Transposition Õ

1. Member States shall bring into force the laws, regulations and
administrative provisions necessary to comply with this
Directive Ö Articles
2, 3, 4, 8, 10, 16, 18, 20 and Annex I Õ by ð [specific date to be inserted by
OPOCE - two years after the date of entry into force] ï 30 April
2006 at the latest. They shall forthwith inform the Commission thereof.
ð They shall forthwith communicate to
the Commission the text of those provisions. ï

2. When Member States adopt those measures, they shall contain a
reference to this Directive or shall be accompanied by such reference on the
occasion of their official publication. ð They shall also include a statement
that references in existing laws, regulations and administrative provisions to
the directives repealed by this Directive shall be construed as references to
this Directive. Member States shall determine how such reference is to be made
and how that statement is to be formulated. ï The
methods of making such reference shall be laid down by Member States.

ò new

Member States
shall communicate to the Commission the text of the main provisions of national
law which they adopt in the field covered by this Directive.

3. The obligation
to transpose and implement this Directive shall not apply to the Republic of
Cyprus and the Republic of Malta for as long as no rail system is established
within their territory.

However, as soon
as a public or private entity submits an official application to build a
railway line with a view to its operation by one or more railway undertakings,
the Member States concerned shall put in place legislation to implement this
Directive within one year from receipt of the application.

Article 33

Repeal

Directive
2004/49/EC, as amended by the Directives listed in Annex II, Part A, is
repealed with effect from [specific date to be inserted by OPOCE –two years
after the date of entry into force], without prejudice to the
obligations of the Member States concerning the time limits for transposition
into national law and application of the Directives set out in Annex II, Part B.

References to the
repealed Directive shall be construed as references to this Directive and shall
be read in accordance with the correlation table in Annex III.

ê Corrigendum,
OJ L 220, 21.6.2004, p. 16 (adapted)

Article34

Entry into force

This Directive shall enter into force on
the Ö twentieth Õ day Ö following
that Õ of its
publication in the Official Journal of the European Union.

ò new

Articles 10 and
11 shall apply from [specific date to be inserted by OPOCE - two years after
the date of entry into force].

ê Corrigendum,
OJ L 220, 21.6.2004, p. 16 (adapted)

Article35

Addressees

This
Directive is addressed to the Member States.

Done at Brussels,

Ö For the
European Parliament                 For the Council Õ

Ö The
President                                           The President Õ

ê 2009/149/EC
Art. 1 and Annex (adapted)

ANNEX I

COMMON SAFETY INDICATORS

Common safety indicators shall Ö are to Õ be reported
annually by the Ö national Õ safety
authorities. The first reporting period shall be 2010.

Indicators relating
to activities referred to in Article 2(2), (a) and (b), should be accounted for
separately, if they are submitted.

If new facts or errors are discovered after
the submission of the report the indicators for one particular year shall Ö are to Õ be amended or
corrected by the Ö national Õ safety
authority at the first convenient opportunity and at the latest in the next
annual report.

For indicators relating to accidents under heading Ö point Õ 1, Regulation
(EC) No 91/2003 of the European Parliament and of the Council of 16 December 2002 on rail transport statistics[35] shall
Ö is to Õ be applied as
far as the information is available.

1.Indicators relating to accidents

1.1. Total and relative (to
train-kilometres) number of significant accidents and a break-down on the
following types of accidents Ö accident Õ :

(i)           collisions Ö collision Õ of trains Ö with rail
vehicles Õ , including collisions with obstacles within the clearance gauge,

Ö (ii)    collision
of trains, with obstacle within the clearance gauge, Õ

(iii)          derailments Ö derailment Õ of trains,

(iv)         level crossing accidents, including accidents involving
pedestrians at level crossings,

(v)          accidents to persons caused by
Ö involving Õ rolling stock
in motion, with the exception of suicides,

(vi)         fires in rolling stock,

(vii)         others Ö other Õ .

Each significant accident shall Ö is to Õ be reported
under the type of the primary accident, even if the consequences of the
secondary accident are more severe, e.g.
for example a fire following a
derailment.

1.2. Total and relative (to
train-kilometres) number of persons seriously injured and killed by type of
accident divided into the following categories:

(i)           passengers Ö passenger Õ (also in
relation to total number of passenger-kilometres and passenger
train-kilometres),

(ii)          employees Ö employee Õ including the
staff of contractors,

(iii)          level crossing users,

(iv)         unauthorised persons on railway
premises Ö trespassers Õ ,

(v)          others Ö other Õ .

2.Indicators relating to dangerous
goods

Total and relative (to train-kilometres)
number of accidents involving the transport of dangerous goods divided into the
following categories:

(i)           accidents involving at least one railway vehicle
transporting dangerous goods, as defined by the Appendix,

(ii)          number of such accidents in which dangerous goods are
released.

3.Indicators relating to suicides

Total and relative (to train-kilometres)
number of suicides.

4.Indicators relating to precursors of
accidents

Total and relative (to train-kilometres)
number of:

(i)           broken rails,

(ii)          track buckles Ö and track
misalignments Õ ,

(iii)          wrong-side signalling failures,

(iv)         signals passed at danger,

(v)          broken wheels and axles on
rolling stock in service,

Ö (vi)   broken
axles on rolling stock in service. Õ

All precursors are to be reported, both
resulting and not resulting in accidents. Precursors resulting in an accident shall Ö are to Õ be reported under
the CSIs on precursors; the accidents that occurred, if significant, shall Ö are to Õ be reported
under the CSIs on accidents referred to in heading 1.

5. Indicators to calculate the
economic impact of accidents

Total in euro and relative (to train-kilometres):

–
number of deaths and serious injuries multiplied by the Value of
Preventing a Casualty (VPC),

–
cost of damages to environment,

–
cost of material damages to rolling stock or
infrastructure,

–
cost of delays as a consequence of accidents.

Safety authorities shall report either the economic
impact of all accidents, or the economic impact of significant accidents only.
This choice shall be clearly indicated in the annual report referred to in
Article 18.

The VPC is the value society attributes to the
prevention of a casualty and as such shall not form a reference for
compensation between parties involved in accidents.

ò new

The Agency shall
define unit costs on the basis of data collected until the entry into force of
this Directive.

ê 2009/149/EC
Art. 1 and Annex (adapted)

6. Indicators relating to technical
safety of infrastructure and its implementation

6.1. Percentage of tracks with Automatic
Train Protection (ATP) in operation, percentage of train-kilometres using
operational ATP systems.

6.2. Number of level crossings (total, per
line kilometre and track kilometre) by the following eight types:

(a) active level crossings with:

(i)      automatic user-side warning,

(ii)     automatic user-side protection,

(iii)     automatic user-side protection and
warning,

(iv)    automatic user-side protection and
warning, and Ö interlocked Õ rail-side
protection,

(v)     manual user-side warning,

(vi)    manual user-side protection,

(vii)    manual user-side protection and
warning;

(b) passive level crossings.

7. Indicators relating to the
management of safety

Internal audits accomplished by
infrastructure managers and railway undertakings as set out in the
documentation of the safety management system. Total number of audits
accomplished and the number as a percentage of audits required (and/or
planned).

8. Definitions

Common definitions for the CSIs and methods
to calculate the economic impact of accidents are laid down in the Appendix.

Appendix

Common definitions for the CSIs and methods to
calculate the economic impact of accidents

1. Indicators relating to accidents

1.1. ‘significant accident’ means any
accident involving at least one rail vehicle in motion, resulting in at least
one killed or seriously injured person, or in significant damage to stock,
track, other installations or environment, or extensive disruptions to traffic.
Accidents in workshops, warehouses and depots are excluded.

1.2. ‘significant damage to stock, track,
other installations or environment’ means damage that is equivalent to EUR 150000
or more.

1.3. ‘extensive disruptions to traffic’
means that train services on a main railway line are suspended for six hours or
more.

1.4. ‘train’ means one or more railway
vehicles hauled by one or more locomotives or railcars, or one railcar
travelling alone, running under a given number or specific designation from an
initial fixed point to a terminal fixed point. A light engine, i.e. such as
a locomotive travelling on its own, is considered to be a train.

1.5. ‘collision of trains, including collisions with obstacles within the clearance
gauge’ means a front to front, front to end or a side collision between
a part of a train and a part of another train, or with
Ö train or
rail vehicle, or with shunting rolling stock Õ :

(i)
shunting rolling stock,

(ii)
objects fixed or temporarily present on or near the track (except at level
crossings if lost by a crossing vehicle or user).

Ö 1.6.
‘collision with obstacles within the clearance gauge mens a collision between a
part of a train and objects fixed or temporarily present on or near the track
(except at level crossings if lost by a crossing vehicle or user). Collision
with overhead contact lines shall be included. Õ

1.67 ‘train derailment’ means any case in which at
least one wheel of a train leaves the rails.

1.78. ‘level crossing accidents’ means accidents
at level crossings involving at least one railway vehicle and one or more
crossing vehicles, other crossing users such as pedestrians or other objects
temporarily present on or near the track if lost by a crossing vehicle/user.

1.89. ‘accidents to persons caused
by Ö involving Õ rolling stock
in motion’ means accidents to one or more persons who are either hit by a
railway vehicle or by an object attached to, or that has become detached from,
the vehicle. Persons who fall from railway vehicles are included, as well as
persons who fall or are hit by loose objects when travelling on board vehicles.

1.910. ‘fires in rolling stock’ means fires and
explosions that occur in railway vehicles (including their load) when they are
running between the departure station and the destination, including when
stopped at the departure station, the destination or intermediate stops, as
well as during re-marshalling operations.

1.1011. ‘other types of Ö accident Õ accidents’ means all accidents other than those already
mentioned (train collisions, train derailments, at level crossing, to persons
caused by rolling stock in motion and fires in rolling stock).

1.1112. ‘passenger’ means any person, excluding
members of the train crew, who makes a trip by rail. For accident statistics,
passengers trying to embark/disembark onto/from a moving train are included.

1.1213. ‘ Ö employee Õ employees (staff of contractors and self-employed
contractors are included)’ means any person whose employment is in connection
with a railway and is at work at the time of the accident. It includes the crew
of the train and persons handling rolling stock and infrastructure
installations.

1.1314. ‘level crossing Ö user Õ users’ means all Ö any
person Õ persons using a level crossing to cross the railway line
by any mean of transport or by foot.

1.1415. ‘unauthorised persons
on railway premises’ Ö ‘trespasser’ Õ means any
person present on railway premises where such presence is forbidden, with the
exception of level crossing users.

1.1516. ‘others (third parties)’ means all persons
not defined as ‘passengers’, ‘employees including the staff of contractors’, ‘level
crossing Ö user Õ users’ or ‘unauthorised persons on
railway premises’ Ö ‘trespassers’ Õ .

1.1617. ‘ Ö death Õ deaths (killed person)’ means any person killed
immediately or dying within 30 days as a result of an accident, excluding
suicides.

1.1718. ‘injuries Ö injured Õ (seriously
injured person)’ means any person injured who was hospitalised for more than 24
hours as a result of an accident, excluding attempted suicides.

2. Indicators relating to dangerous
goods

2.1. ‘accident involving the transport of
dangerous goods’ means any accident or incident that is subject to reporting in
accordance with RID[36]/ADR
section 1.8.5.

2.2. ‘dangerous goods’ means those
substances and articles the carriage of which is prohibited by RID, or
authorised only under the conditions prescribed therein.

3. Indicators relating to suicides

3.1. ‘suicide’ means an act to deliberately
injure oneself resulting in death, as recorded and classified by the competent
national authority.

4. Indicators relating to precursors
of accidents

4.1. ‘broken rail rails’
means any rail which is separated in two or more pieces, or any rail from which
a piece of metal becomes detached, causing a gap of more than 50 mm in length
and more than 10 mm in depth on the running surface.

4.2. ‘track Ö buckle
and track misalignment Õ buckles’ means faults related to the continuum and the
geometry of track, requiring track obstruction or immediate reduction of
permitted speed to maintain safety.

4.3. ‘wrong side signalling failure’ means
any Ö technical Õ failure of a
signalling system (either to infrastructure or to rolling stock), resulting in
signalling information less restrictive than that demanded.

4.4. ‘Signal Passed at Danger (SPAD)’ means
any occasion when any part of a train proceeds beyond its authorised movement.

Unauthorised movement means to pass:

–
a trackside colour light signal or semaphore at
danger, order to STOP, where an Automatic Train Control System (ATCS) or ATP
system is not operational,

–
the end of a safety related movement authority
provided in an ATCS or ATP system,

–
a point communicated by verbal or written
authorisation laid down in regulations,

–
stop boards (buffer stops are not included) or
hand signals.

Cases in which vehicles without any
traction unit attached or a train that is unattended run away past a signal at
danger are not included. Cases in which, for any reason, the signal is not
turned to danger in time to allow the driver to stop the train before the
signal are not included.

National safety
authorities Safety Authorities
may report separately on the four indexes and shall
Ö must Õ report at
least an aggregate indicator containing data on all four items.

4.5. ‘broken Ö wheel Õ wheels and broken axles’ means a break affecting the
essential parts of the wheel or the axle and
creating a risk of accident (derailment or collision).

Ö 4.6
‘broken axle’ means a break affecting the essential parts of the axle creating
a risk of accident (derailment or collision). Õ

5. Common methodologies to calculate
the economic impact of accidents

ò new

The Agency shall
develop a methodology for calculation of the unit costs starting from the data
collected before the entry into force of this Directive

ê 2009/149/EC
Art. 1 and Annex (adapted)

5.1. The Value of Preventing a Casualty (VPC) is
composed of:

1.      Value of safety per se: Willingness to Pay (WTP) values
based on stated preference studies carried out in the Member State for which
they are applied.

2.      Direct and indirect economic costs: cost values appraised in
the Member State, composed of:

–
medical and rehabilitation cost,

–
legal court cost, cost for police, private crash
investigations, the emergency service and administrative costs of insurance,

–
production losses: value to society of goods and
services that could have been produced by the person if the accident had not
occurred.

5.2. Common principles to appraise the value of
safety per se and direct/indirect economic costs:

For the value of safety per se, the assessment
of whether available estimates are appropriate or not shall be based on the
following considerations:

–
estimates shall relate to a system for valuation of
mortality risk reduction in the transport sector and follow a WTP approach
according to stated preference methods,

–
the respondent sample used for the values shall be
representative of the population concerned. In particular, the sample has to
reflect the age/income distribution along with other relevant
socio-economic/demographic characteristics of the population,

–
method for eliciting WTP values: survey design shall
be such that questions are clear/meaningful to respondents.

Direct and indirect economic costs shall be appraised
on the basis of the real costs borne by society.

5.3. ‘Cost of damage to environment’ means costs that
are to be met by Railway Undertakings/Infrastructure Managers, appraised on the
basis of their experience, in order to restore the damaged area to its state
before the railway accident.

5.4. ‘Cost of material damage to rolling stock or
infrastructure’ means the cost of providing new rolling stock or
infrastructure, with the same functionalities and technical parameters as that
damaged beyond repair, and the cost of restoring repairable rolling stock or
infrastructure to its state before the accident. Both are to be estimated by
Railway Undertakings/Infrastructure Managers on the basis of their experience.
Also includes costs related to leasing rolling stock, as a consequence of non
availability due to damaged vehicles.

5.5. ‘Cost of delays as a consequence of accidents’
means the monetary value of delays incurred by users of rail transport
(passengers and freight customers) as a consequence of accidents, calculated by
the following model:

VT || = || monetary value of travel time savings Value of time for a passenger of a train (an hour) VTP = [VT of work passengers]*[Average percentage of work passengers per year] + [VT of non-work passengers]*[Average percentage of non-work passengers per year] VT measured in EUR per passenger per hour Value of time for a freight train (an hour) VTF = [VT of freight trains]*[(Tonne-Km)/(Train-Km)] VT is measured in EUR per freight tonne per hour Average tonnes of goods transported per train in one year = (Tonne-Km)/(Train-Km)

CM || = || Cost of 1 minute of delay of a train Passenger train CMP = K1*(VTP/60)*[(Passenger-Km)/(Train-Km)] Average number of passengers per train in one year = (Passenger-Km)/(Train-Km) Freight train CMF = K2* (VTF/60) Factors K1 and K2 are between the value of time and the value of delay, as estimated by stated preference studies, to take into account that the time lost as a result of delays is perceived significantly more negatively than normal travel time. Cost of delays of an accident = CMP*(Minutes of delay of passenger trains) + CMF*(Minutes of delay of freight trains)

Scope of the model

Cost of delays is to be calculated for all accidents,
both significant and non-significant.

Delays are to be calculated as follows:

–
real delays on the railway lines where accidents
occurred,

–
real delays or, if not possible, estimated delays on
the other affected lines.

6. Indicators relating to technical
safety of infrastructure and its implementation

6.1. ‘Automatic Train Protection (ATP)’
means a system that enforces obedience to signals and speed restrictions by
speed supervision, including automatic stop at signals.

6.2. ‘level crossing’ means any level
intersection between the railway and a passage, as recognised by the
infrastructure manager and open to public or private users. Passages between
platforms within stations are excluded, as well as passages over tracks for the
sole use of employees.

6.3. ‘passage’ means any public or private
road, street or highway, including footpaths and bicycle paths, or other route
provided for the passage of people, animals, vehicles or machinery.

6.4. ‘active level crossing’ means a level
crossing where the crossing users are protected from or warned of the
approaching train by the activation of devices when it is unsafe for the user
to traverse the crossing.

–
Protection by the use of physical devices:

–
half or full barriers,

–
gates.

–
Warning by the use of fixed equipment at level
crossings:

–
visible devices: lights,

–
audible devices: bells, horns, klaxons, etc.,

–
physical devices, e.g. vibration due to road
bumps.

Active level crossings are classified as:

1. ‘Level crossing with crossing-user-side automatic protection and/or warning’
means a level crossing where the crossing
protection and/or warning are activated by the approaching train Ö or where
there is interlocked rail-side protection Õ .

These level crossings are
classified as:

(i)      automatic user-side warning,

(ii)     automatic user-side protection,

(iii)     automatic user-side protection and
warning,

(iv)    automatic user-side protection and
warning, and rail-side protection.

‘Ö Interlocked Õ Rail-side
protection’ means a signal or other train protection system that only permits a
train to proceed if the level crossing is user-side protected and free from
incursion; the latter by means of surveillance and/or obstacle detection.

2.‘Level crossing with crossing-user-side manual protection and/or warning’
means a level crossing where protection and/or warning is manually activated Ö by a
railway employee Õ and there is
not an interlocked Ö rail-side
protection Õ railway signal showing, to the train, a running aspect only
when protection and/or warning of level crossing are activated.

These level crossings are
classified as:

(v) manual user-side warning,

(vi) manual
user-side protection,

(vii) manual
user-side protection and warning.

6.5. ‘Passive level crossing’ means a level
crossing without any form of warning system and/or protection activated when it
is unsafe for the user to traverse the crossing.

7. Indicators relating to the
management of safety

7.1. ‘audit’ means a systematic,
independent and documented process for obtaining audit evidence and evaluating
it objectively to determine the extent to which audit criteria are fulfilled.

8. Definitions of the scaling bases

8.1. ‘train-km’ means the unit of measure
representing the movement of a train over one kilometre. The distance used is
the distance actually run, if available, otherwise the standard network
distance between the origin and destination shall Ö is to Õ be used. Only
the distance on the national territory of the reporting country shall Ö is to Õ be taken into
account.

8.2. ‘passenger-km’ means the unit of
measure representing the transport of one passenger by rail over a distance of
one kilometre. Only the distance on the national territory of the reporting
country shall Ö is to Õ be taken into
account.

8.3. ‘line km’ means the length measured in
kilometres of the railway network in Member States, whose scope is laid down in
Article 2. For multiple-track railway lines, only the distance between origin
and destination is to be counted.

8.4. ‘track km’ means the length measured
in kilometres of the railway network in Member States, whose scope is laid down
in Article 2. Each track of a multiple-track railway line is to be counted.

ê Corrigendum, OJ
L 220, 21.6.2004, p. 16

ANNEX II

NOTIFICATION OF NATIONAL SAFETY RULES

National safety rules that are to be notified to the
Commission according to the procedure described in Article 8 include:

1.       rules concerning existing national safety
targets and safety methods;

2.       rules concerning requirements on safety
management systems and safety certification of railway undertakings;

ê 2008/110/EC
Art. 1.13

---

ê Corrigendum,
OJ L 220, 21.6.2004, p. 16

4. common operating rules of the railway network that
are not yet covered by TSIs, including rules relating to the signalling and
traffic management system;

5. rules laying down requirements on additional internal
operating rules (company rules) that must be established by infrastructure
managers and railway undertakings;

6. rules concerning requirements on staff executing
safety critical tasks, including selection criteria, medical fitness and
vocational training and certification as far as they are not yet covered by a
TSI;

7. rules concerning the investigation of accidents and
incidents.

ANNEX III

SAFETY MANAGEMENT SYSTEMS

1.
Requirements on the safety management system

The safety management system must be documented in
all relevant parts and shall in particular describe the distribution of
responsibilities within the organisation of the infrastructure manager or the
railway undertaking. It shall show how control by the management on different
levels is secured, how staff and their representatives on all levels are
involved and how continuous improvement of the safety management system is
ensured.

2. Basic
elements of the safety management system

The basic elements of the safety management system
are:

(a)          a safety policy approved by the organisation's
chief executive and communicated to all staff;

(b)          qualitative and quantitative targets of the organisation
for the maintenance and enhancement of safety, and plans and procedures for
reaching these targets;

(c)          procedures to meet existing, new and altered technical and
operational standards or other prescriptive conditions as laid down

–
in TSIs,

or

–
in national safety rules referred to in Article 8 and
Annex II,

or

–
in other relevant rules,

or

–
in authority decisions,

and procedures to assure compliance with the standards and other
prescriptive conditions throughout the life-cycle of equipment and operations;

(d)          procedures and methods for carrying out risk evaluation
and implementing risk control measures whenever a change of the operating
conditions or new material imposes new risks on the infrastructure or on
operations;

(e)          provision of programmes for training of staff and systems
to ensure that the staff's staff’s competence is maintained and tasks
carried out accordingly;

(f)           arrangements for the provision of sufficient information
within the organisation and, where appropriate, between organisations operating
on the same infrastructure;

(g)          procedures and formats for how safety information is to be
documented and designation of procedure for configuration control of vital
safety information;

(h)          procedures to ensure that accidents, incidents, near
misses and other dangerous occurrences are reported, investigated and analysed
and that necessary preventive measures are taken;

(i)           provision of plans for action and alerts and information
in case of emergency, agreed upon with the appropriate public authorities;

(j)           provisions for recurrent internal auditing of the safety
management system.

ANNEX IV

DECLARATIONS FOR NETWORK SPECIFIC PART OF SAFETY
CERTIFICATE

The following documents must be submitted to enable
the safety authority to deliver the network-specific part of the safety
certificate:

–
documentation from the railway undertaking on the
TSIs or parts of TSIs and, where relevant, national safety rules and other
rules applicable to its operations, its staff and its rolling stock and how
compliance is ensured by the safety management system,

–
documentation from the railway undertaking on the
different categories of staff employed or contracted for the operation,
including evidence that they meet requirements of TSIs or national rules and
have been duly certified,

–
documentation from the railway undertaking on the
different types of rolling stock used for the operation, including evidence
that they meet requirements of TSIs or national rules and have been duly
certified.

To avoid duplication of work and to reduce the amount
of information only summary documentation should be submitted concerning
elements that comply with TSIs and other requirements of Directives 96/48/EC
and 2001/16/EC.

ANNEX V

PRINCIPAL CONTENT OF ACCIDENT AND INCIDENT
INVESTIGATION REPORT

1. Summary

The summary shall contain a short description of the
occurrence, when and where it took place and its consequences. It shall state
the direct causes as well as contributing factors and underlying causes
established by the investigation. The main recommendations shall be quoted and
information shall be given on the addressees.

2. Immediate
facts of the occurrence

1. The occurrence:

–
date, exact time and location of the occurrence,

–
description of the events and the accident site
including the efforts of the rescue and emergency services,

–
the decision to establish an investigation, the
composition of the team of investigators and the conduct of the investigation.

2. The background to the occurrence:

–
staff and contractors involved and other parties and
witnesses,

–
the trains and their composition including the
registration numbers of the items of rolling stock involved,

–
the description of the infrastructure and signalling
system - track types, switches, interlocking, signals, train protection,

–
means of communication,

–
works carried out at or in the vicinity of the site,

–
trigger of the railway emergency plan and its chain
of events,

–
trigger of the emergency plan of the public rescue
services, the police and the medical services and its chain of events.

3. Fatalities, injuries and material damage:

–
passengers and third parties, staff, including
contractors,

–
cargo, luggage and other property,

–
rolling stock, infrastructure and the environment.

4. External circumstances:

–
weather conditions and geographical references.

3. Record of
investigations and inquiries

1. Summary of testimonies (subject to the protection of identity of the
persons):

–
railway staff, including contractors,

–
other witnesses.

2. The safety management system:

–
the framework organisation and how orders are given
and carried out,

–
requirements on staff and how they are enforced,

–
routines for internal checks and audits and their
results,

–
interface between different actors involved with the
infrastructure.

3. Rules and regulations:

–
relevant Community and national rules and
regulations,

–
other rules such as operating rules, local
instructions, staff requirements, maintenance prescriptions and applicable
standards.

4. Functioning of rolling stock and technical installations:

–
signalling and control command system, including
registration from automatic data recorders,

–
infrastructure,

–
communications equipment,

–
rolling stock, including registration from automatic
data recorders.

5. Documentation on the operating system:

–
measures taken by staff for traffic control and
signalling,

–
exchange of verbal messages in connection with the
occurrence, including documentation from recordings,

–
measures taken to protect and safeguard the site of
the occurrence.

6. Man-machine-organisation interface:

–
working time applied to the staff involved,

–
medical and personal circumstances with influence on
the occurrence, including existence of physical or psychological stress,

–
design of equipment with impact on man-machine
interface.

7. Previous occurrences of a similar character.

4. Analysis
and conclusions

1. Final account of the event chain:

–
establishing the conclusions on the occurrence, based
on the facts established in heading 3.

2. Discussion:

–
analysis of the facts established in heading 3 with
the aim of drawing conclusions as to the causes of the occurrence and the
performance of the rescue services.

3. Conclusions:

–
direct and immediate causes of the occurrence
including contributory factors relating to actions taken by persons involved or
the condition of rolling stock or technical installations,

–
underlying causes relating to skills, procedures and
maintenance,

–
root causes relating to the regulatory framework
conditions and application of the safety management system.

4. Additional observations:

–
deficiencies and shortcomings established during the
investigation, but without relevance to the conclusions on causes.

5. Measures
that have been taken

–
Record of measures already taken or adopted as a
consequence of the occurrence.

6.
Recommendations

é

ANNEX II

PART A

Repealed Directive with list of the
successive amendments thereto

(referred to in Article 32)

Directive 2004/49/EC || (OJ L 164, 30.4.2004, p. 44)

Directive 2008/57/EC || (OJ L 191, 18.7.2008, p. 1)

Directive 2008/110/EC || (OJ L 345, 23.12.2008, p. 62)

Commission Directive 2009/149/EC || (OJ L 313, 28.11.2009, p. 65)

Corrigendum, 2004/49/EC || (OJ L 220, 21.6.2004, p. 16)

PART B

Time limits for transposition
into national law

(referred to in Article 32)

Directive || Deadline for transposition

2004/49/EC || 30 April 2006

2008/57/EC || 19 July 2010

2008/110/EC || 24 December 2010

2009/149/EC || 18 June 2010

ANNEX III

CORRELATION
TABLE

Directive 2004/49/EC || This Directive

Article 1 || Article 1

Article 2 || Article 2

Article 3 || Article 3

Article 4 || Article 4

Article 5 || Article 5

Article 6 || Article 6

Article 7 || Article 7

Article 8 || Article 8

Article 9 || Article 9

Article 10 || Article 10

Article 11 || Article 12

Article 12 || Article 11

Article 13 || Article 13

Article 14a (1) to (7) || Article 14

Article 14a (8) || Article 15

Article 15 || --

Article 16 || Article 16

Article 17 || Article 17

Article 18 || Article 18

Article 19 || Article 19

Article 20 || Article 20

Article 21 || Article 21

Article 22 || Article 22

Article 23 || Article 23

Article 24 || Article 24

Article 25 || Article 25

Article 26 || --

-- || Article 26

Article 27 || Article 27

Article 28 || --

Article 29 || --

Article 30 || --

Article 31 || Article 28

Article 32 || Article 29

-- || Article 30

-- || Article 31

Article 33 || Article 32

-- || Article 33

Article 34 || Article 34

Article 35 || Article 35

Annex I || Annex I

Annex II || --

Annex III || --

Annex IV || --

Annex V || --

-- || Annex II

[1]               http://www.consilium.europa.eu/uedocs/cms_data/docs/pressdata/en/ec/127599.pdf.

[2]               COM (2012) 299 final.

[3]               COM(2012) 259 final.

[4]               OJ L 143, 27.6.1995, p. 70.

[5]               OJ L 75, 15.3.2001,
p. 29.

[6]               OJ L 164, 30.4.2004,
p. 44.

[7]               Recommendation on the migration to a single EU safety
certificate, ERA/REC/10/2011, 3.7.2012.

[8]               Commission Staff Working Document accompanying the ‘Legislative
proposals to eliminate remaining administrative and technical barriers in the
field of interoperability and safety on the EU railway market’.

[9]               OJ C , , p..

[10]               OJ C , , p..

[11]               OJ C , , p..

[12]               OJ
L 237, 24.8.1991, p. 25. Directive as amended by Directive 2001/12/EC
of the European Parliament and of the Council (OJ L 75, 15.3.2001,
p. 1).

[13]               OJ L 164, 30.4.2004, p. 44.

[14]               OJ
L 143, 27.6.1995, p. 70. Directive as amended by Directive 2001/13/EC
of the European Parliament and of the Council (OJ L 75, 15.3.2001,
p. 26).

[15]               OJ
L 75, 15.3.2001, p. 29. Directive as amended by Commission Decision
2002/844/EC (OJ L 289, 26.10.2002, p. 30).

[16]               OJ L 235,
17.9.1996, p. 6.

[17]               OJ L 110,
20.4.2001, p. 1.

[18]             See page
3 of this Official Journal.

[19]             OJ
L 183, 29.6.1989, p. 1.

[20]             OJ
L 235, 17.9.1996, p. 25. Directive as last amended by Commission
Directive 2003/29/EC (OJ L 90, 8.4.2003, p. 47).

[21]             Commission
Decision 98/500/EC of 20 May 1998 on the establishment of Sectoral Dialogue
Committees promoting the Dialogue between the social partners at European level
(OJ L 225, 12.8.1998, p. 27).

[22]             OJ L 55, 28.2.2011, p. 13.

[23]             OJ L 184, 17.7.1999,
p. 23.

[24]             OJ L 75, 15.3.2001, p. 29

[25]             OJ L 191, 18.7.2008, p. 1.

[26]             OJ L 320, 17.11.2012, p. 8.

[27]             OJ L 108, 29.4.2009, p. 4.

[28]             OJ L 143, 27.6.1995, p. 70.

[29]             OJ L 315, 3.12.2007, p. 51.

[30]             OJ L 122, 11.5.2011, p. 22.

[31]             OJ L 326, 10.12.2010, p.11.

[32]             OJ L 320, 17.11.2012, p. 3

[33]             OJ L 237, 24.8.1991, p. 25.

[34]             OJ L 164, 30.4.2004,
p. 164.

[35]               OJ L 14, 21.1.2003, p. 1.

[36]               RID, Regulations concerning the International
Carriage of Dangerous Goods by Rail, as adopted under Directive 2008/68/EC of
the European Parliament and of the Council of 24 September 2008 on the inland
transport of dangerous goods (OJ L 260, 30.9.2008, p. 13).